Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers
management measures in response to investors? risk tolerance and expectation, taking into account such factors as product quality, risk diversification, limitation for investment in high-risk products and
BROKERAGE SECURITIES COMPANY LIMITED SOCIETE GENERALE SECURITIES (THAILAND) COMPANY LIMITED THANSETTHAKIJ CAPITAL COMPANY LIMITED DEUTSCHE BANK DAOL INVESTMENT MANAGEMENT COMPANY LIMITED DAOL SECURITIES
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate
LM Investment Management Limited Website: www.LMaustralia.com : Unlicensed securities and derivatives business (Disclosure Date : 17/04/2013)
that ?After inquiring information from executives of several investment management companies, all of them confirmed that there was no irregular redemption of investment units in the past two weeks. In
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In
were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were