SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to funding through capital market’s fundraising mechanisms and tools. To support liquidity of businesses affected by the COVID-19 pandemic who wish to raise fund using REIT buy-back, the SEC has considered exempting fees for application and filing submitted during February 1, 2021 and December 31, 2023. W...
(“unit link”) ตามที่สำนักงานได้รับความร่วมมือจากบริษัทประกันชีวิตจัดทำแบบประเมินตนเองตามองค์ประกอบ 8 ด้านในการดำเนินธุรกิจ LBDU กรณีการขาย unit link และสำนักงานได้กำกับดูแล
List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria. Date
investors better. Key changes in the amendment include:- Expanding the payment amount of redeemed investment units on the unit trading day- Allowing asset management companies to fix the fund’s constant net
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
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
International Banks, the Thai Life Assurance Association, and investment unit selling agents. This is the first time that the single form will be used for opening an investment account for capital market products
case of concerns of doubtful events, investors should contact the compliance unit promptly. In any case, investment consultants must accept trading orders from the account owners or the persons who
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and