found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

the readiness for performance of a provident fund committee?s duties. The SEC is well aware of the significant role of the provident fund committee members and therefore puts strong emphasis on the

Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test

:              Group 1: Chanyarat, as a director of Suan Orapin (Thailand) Co., Ltd., a lessee of a property of UOB8TF with the right to offer a bidding price for the property in competition with other bidders, knew

Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units

unsubscribed portion of IPO securities for their risk management. This is to ensure confidence in the underwriting business and the capital market as a whole; 5. Product innovation ? The ASCO requested support

management company paid a compensation of 100 million baht to T.U. Dome for the damage caused by the aforesaid misconducts of such fund managers. The SEC will take further consideration on pursuing relevant

Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the

issuers including disclosure of assessment factors; (3) the investment limit is capped at no more than 100,000 baht for each retail investor, equity and debentures combined, up from no more than 50,000

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on