Name of Marketing Officer Brief Description Notification/Section SEC Administrative
of securities business, thus violating the Regulations of the Stock Exchange of Thailand Re: Rules and Procedures for Charging Brokerage or Agent?s Fees for the Buying or Selling of Listed Securities
giving of information advice to investors. The SEC notified the survey?s result to the Thai Bankers? Association and urged asset management company that appointed commercial bank as its selling agent to
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
SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management
Facebook page Marketing Thailand : Unlicensed securities and derivatives business (Disclosure Date : 31/05/2023)