The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC), and the Thai Bankers’ Association (TBA), organized an

unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant

Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

.  Investment Planner is approved to give investment advice to investors as well as to make an investment plan in conjunction with investment advice by using client information in an in-depth manner to support

Microsoft Word - Pros KFF6MAN-AI กองทุนเปิดเค ตราสารหนีตา่งประเทศ6MAN หา้มขายผูล้งทุนรายยอ่ย 1 กองทุนเปิดเค ตราสารหนีต่างประเทศ MAN หา้มขายผูล้งทุนรายย่อย K Foreign Fixed Income 6MAN Fund Not for

Microsoft Word - Pros KFF6MAN-AI กองทุนเปิดเค ตราสารหนีตา่งประเทศ6MAN หา้มขายผูล้งทุนรายยอ่ย 23 รายละเอียดโครงการจดักองทุนรวม คาํจาํกดัความ / คาํนิยาม: กฎหมาย ก.ล.ต. หมายถึง พระราชบญัญติัหลกัทรพัยแ์

aims to promote ASEAN capital markets as a driving force for sustainable development and an investment destination recognized by global investors in line with the concept of Advancing Partnership

establishment and the application fee for amendment to a mutual fund scheme to be designated as SRI Fund is exempt at an amount not exceeding 5,000 baht per fund scheme. Both exemptions are valid for the