therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
, including allowing investors an additional tax privilege for their investment in SSF units investing not less than 65% of net asset values in listed securities on SET. Investors are permitted to deduct an
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the
The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost work systems while the approval process is underway. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application supporting documents within 90 days from the date of filing the application with SEC, and (2) inspecti...
(SDGs). It also brought to the fore investment management business operators, institutional investors and other capital market participants for an in-depth discussion on the Principles for Responsible
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาออนไลน์หัวข้อ Investment Partnership for Social Justice ซึ่งเป็นส่วนหนึ่งของ RoLD Program ที่
invest in products denominated in foreign currencies, which will enable Thai investors to have channels and options in making an investment based on their investment strategies in a more efficient manner
Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without