Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
Facebook page “The stock exchange of thailand.” impersonates “The Stock Exchange of Thailand” : Unlicensed securities and derivatives business (Disclosure Date : 21/06/2024)
Facebook page “The stock exchange of thailand.” impersonates “The Stock Exchange of Thailand” : Unlicensed securities and derivatives business (Disclosure Date : 21/06/2024)
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
, for the purchase of units of any Thai ESG Funds on the condition that they hold the investment units for a minimum of eight years from the date of purchase. All Thai ESG Funds mainly invest in