available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
percent of the NAV at daily closing. This liquidity boosting option is valid until 30 April 2020, as part of the key measures to help asset management companies manage the assets under management more
submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly
Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
malpractices of any SEC official, you can lodge a complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure
SEC’s 28th Anniversary Celebrations. We have set up two pantries, one at the front entrance and the other at the back ally of the SEC Building, to provide daily essential items such as rice, dry foods
The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral