Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
-oriented support to the fund industry to promote long-term investment in mutual funds, aiming to foster financial well-being for youth education as well as post-retirement living. Additionally, a focus is
instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types, e.g., investment units of mutual
working-age population?s self-discipline in saving and making monthly investment in the participated mutual funds at a minimum 1,000 baht a month to reach their medium and long-term goals for retirement. At
is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy disclosed in the mutual fund schemes and
companies that operate business in the categories of securities brokerage, dealing, investment advisory and underwriting, as well as mutual fund management, private fund management, venture capital
Budsaratragoon said: “The Thai ESG Fund as endorsed by the governmental sector features an investment policy that focuses on ESG assets, helping to diversify the types of sustainability-themed mutual funds. This