Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
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
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore
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become more attractive to investing public as an alternative to traditional savings. For potential and new investors, mutual fund managed by professional managers would be a suitable investment choice. For
พฤษภาคม 2566คณะกรรมการกำกับตลาดทุนจึงออกประกาศปรับปรุงหลักเกณฑ์ดังกล่าว โดยมีสาระสำคัญดังนี้ (1) กำหนดลักษณะ investment company ให้ชัดเจน โดยหมายถึงบริษัทที่มีการลงทุนในลักษณะที่ไม่มีส่วนร่วมในการบริหาร