worth investors, investment units of mutual funds investing in derivatives, hybrid products, structured notes and derivatives. *** Since the approval period as investment consultant for complex
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the
for institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid products, structured notes and derivatives.
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
mutual funds with investment in derivatives, hybrid securities, structured notes, and derivatives.***Phisit’s application for obtaining SEC approval to be personnel in the capital market business during
., investment units of mutual funds for institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid products, and structured notes
units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Saowarat’s application for obtaining SEC approval to be personnel in the capital market business during
., investment units of mutual funds for institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid products, structured notes and derivatives.