Bangkok, 9 November 2017 ? The Civil Sanction Committee has imposed civil sanctions on four persons, namely (1) Mr. Surachai Suwanthanakul, (2) Mrs. Orthai Sae-tung, (3) Mr. Somsak Saravutwattanakorn

persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to

Bangkok, June 7, 2016 ? The SEC is seeking public comments on draft rules governing the conversion of property funds (Type 1) to Real Estate Investment Trusts? (REIT) to make it more practical for

Bangkok, June 10, 2016 ? The SEC is seeking public comments on the proposed amendment to the rules governing disclosure of information in the Annual Registration Statement (Form 56-1), specifically

Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of

The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept

revise the definition of bills that are considered as securities as follows:  (1)  being bills of exchange or promissory notes issued to the holder, representing the rights on such bills, to more than 10

. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment