The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
Dr.Aurchat Kanjanapitak In late 2012, Dr.Aurchat Kanjanapitak, (“Dr.Aurchat”) former managing director responsible for operation and management of Ramkhamhaeng Hospital Public Company Limited (“RAM
The four persons under the criminal complaint were: (1) {A}, then {X1} Vice President, Vice Executive President, Chief Executive Officer and Managing Director, (2) {B}, then {X1} Executive
wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund