Facebook page ชื่อ นิเวศน์ เหมวชิรวรากร และ LINE Group ชื่อ 93กลุ่มแลกเปลี่ยนความรู้ของแฟนคลับสมชาย (Murray) และ LINE ชื่อ NIC Broker - David และ โบรกเกอร์ชื่อ Nicshare - ยังไม่ได้รับใบอนุญาตธุรกิจ
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
จะร่วมกับเจ้าหนี้รายอื่นแต่งตั้งตัวแทน (securities agent) เพื่อดูแลหลักประกันดังกล่าวได้หรือไม่ และการตั้งตัวแทนดังกล่าวถือเป็นการตั้งตัวแทนตามมาตรา 100 แห่งพ.ร.บ. หลักทรัพย์ฯ หรือไม่
increase via private placement (PP) to become ineffective until the SEC shall order otherwise. This follows POLAR?s announcement concerning (1) additional agenda of Extraordinary General Meeting (EGM) No.1
Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...
false statement regarding capital increase of the company. Given that Pichet was assigned to study and make an improvement plan for MLINK?s financial condition and capital structure, he must have
SEC Secretary-General Ruenvadee Suwanmongkol announced that SEC has issued a measure allowing asset management companies to borrow money or enter into a repurchase transaction agreement to better manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30 percent of the NAV at daily closing. This liquidity boosting option is valid until 30 April 2020, as...