and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
underlying purpose of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018), which has come into force on 14 May 2018, is to regulate and supervise the use of digital assets as fund-raising instruments
Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
เลขาธิการ ก.ล.ต. กล่าวว่า ?การปรับปรุงดังกล่าวครอบคลุม (1) การไม่กำหนดจำนวนหลักทรัพย์ที่ติดเกณฑ์ Turnover List ในตลาดหลักทรัพย์แห่งประเทศไทย (SET) และตลาดหลักทรัพย์ เอ็ม เอ ไอ (mai) จากเดิมที่มีการกำหนดจำนวน
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
the Registration Statement and Draft Prospectus (“Filing”) is required by the SEC prior to the offering of such securities; (2) Set the criteria for the Filing submission by using Form 69-1 as in the
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
Forum (ACMF)?s implementation plan, the ASEAN CIS framework and the common standards concerning qualifications of the cross-border funds, management companies and fund supervisors, local representatives