}, capital market investment consultant, is suspended for two years; (2) {C}, securities investment consultant, is suspended for 18 months; (3) {D}, capital market investment consultant and investment
Bangkok, April 29, 2016 ? The SEC is seeking public comments on draft rules concerning guidelines for post-offering disclosure of information to be imposed specifically on property funds
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
the payment of invoices to an incorrect account. The loss in the email compromise affected significantly the company and the overall shareholders.SEC is of the opinion that the supervision and
Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE
Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
Bangkok, May 29, 2014 ? The SEC is seeking public comment on 2 draft notifications to facilitate offering of mutual funds set up by Thai investment management companies under the ASEAN Collective
Bangkok, May 29, 2014 ? The SEC is seeking public comment on 2 draft notifications to facilitate offering of mutual funds set up by Thai investment management companies under the ASEAN Collective
Bangkok, January 10, 2014 ? The SEC is seeking public comment on proposed revision to the fund?s investment rules. The proposed revision applicable to mutual fund, private fund and provident fund
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers