Bangkok, June 25, 2012 ? The SEC Board and the Capital Market Supervisory Board resolved to specify types of accredited investors (AI) and allow an offer for sale of the following products to AI: (1
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and
risk investment policies. (Only for the policies investing in low-risk securities less than 50% of individual investment capital) (2) The revision will provide fund members with investment alternatives
Bangkok, December 21, 2011 - The SEC Board agreed in principle to allow offer for sale of foreign Collective Investment Scheme ("CIS") to non-retail investor in Thailand in accordance with the 2010
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3