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
made-up investment project. In so doing, Panita replaced the names of the depositors with those of several other clients who were related to herself and used the money to trade securities via the trading
, 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
(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
total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social
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
institu- tional investors Institutional investors are an increasingly diverse group of investors. While some invest on their own account such as pension funds and insurance companies others are asset
face certain limits on their ability to participate in the governance of the company, including limited influence on board choice and some other key decisions, and do not always receive key information
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
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