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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? specifications or the SEC Notifications regarding management of mutual funds, private funds or provident funds. The adjusted procedures give asset management companies that commit immaterial offences time and opportunity to correct their mistakes or pay remedies in protection of investors? int...
Bangkok, November 5, 2007 ? The SEC today ordered Pacific Assets Public Company Limited (PA) to provide additional information related to the company?s investment in the Chedi Phuket Project after
This is according to the news this morning stating about shares sold by mutual funds due to huge redemption of investment units. Mr. Thirachai Phuvanat naranubala, SEC Secretary-General stated
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then