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
(Thailand) at the time, had prepared documents and contracts on behalf of the securities company and solicited eight clients to deposit money in the company?s banking account for the purpose of investing in a
securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
platforms. This collaborative effort aims to prevent further harm to the public. Since the launch of the Investment Scam Hotline Initiative on 6 November 2023, the SEC has been notified of fraudulent
companies and their affiliates, both in the Stock Exchange of Thailand (SET) and the Market for Alternative Investment (MAI) Ms. Ruenvadee Suwanmongkol, SEC Secretary-General said, “One of the SEC’s key
relatives and their advisers typically sitting as directors on group company boards. As with some other Asian markets, families remain large owners of Indian companies. Many of these families have focused on
guidance on the tracking of eligibility status during the term of the bond. Their draft recommendations are refined through engagement with finance industry experts in convened Industry Working Groups and
-_investment_policy_and_management_plan_9-2013.pdf [ 6 ] Step Three: Develop a Focus List Some public pension funds may have their list of ESG engagement efforts developed externally, as when they are mandated by state legislatures through