Bangkok, December 9, 2009 ? The SEC is inviting the public to comment on the draft amendment to the rules governing appointment of selling agents by asset management companies, securities companies
Bangkok, October 7, 2009 ? SEC has now required that asset management companies and securities firms with Limited Brokerage, Dealing and Underwriting (LBDU) license disclose more clearly foreign
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial
) Philippines, and starts with providing analysis and advice on securities not having complex characteristics, such as stock, bonds, mutual fund, collective investment schemes (CIS) and real estate investment
Facebook accounts are not licensed securities or derivatives business operators in Thailand. Investors are therefore advised to be careful with any investment solicitation of such entities because the
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
to clients’ predetermined instructions as advised by securities brokers. ** The securities analysis and investment advisory to design a portfolio advisory that shows
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the