region with foreign investment funds as well as using mutual funds to help solve a lack of savings. Vorapol Socatiyanurak, SEC Secretary-General revealed after the last quarterly meeting of 2014 with the
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
Bangkok, February 11, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the SEC Board has approved draft regulation on the offering of ASEAN Collective Investment Schemes (ASEAN CIS
showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact
conversion price. The said instruments will be permissible for investment of mutual funds, except money market funds, under certain investment limit. The relevant regulations are expected to become effective
private sector to help enhance the public sector operation along the line with international standard. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board
investigation revealed that the investment on the bills of exchange (B/E) had been approved by the Investment Committee of Solaris Asset Management Co., Ltd. chaired by Mr. Suphan Sethapanich. According to