the Registration Statement and Draft Prospectus (“Filing”) is required by the SEC prior to the offering of such securities; (2) Set the criteria for the Filing submission by using Form 69-1 as in the
,? she added.The 26 I Code endorsers are (1) Land and House Fund Management Co., Ltd., (2) One Asset Management Ltd., (3) SCB Asset Management Co., Ltd., (4) BBL Asset Management Co., Ltd., (5) Asset Plus
the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns
การทำความรู้จักลูกค้า (KYC) และแนะนำการลงทุนที่เหมาะสม (Suitability) ทั้งนี้ การลงทุนในหุ้นของเอสเอ็มอีมีความเสี่ยงที่สูงกว่าการลงทุนในหุ้นของบริษัทจดทะเบียนในตลาดหลักทรัพย์แห่งประเทศไทย (SET) และ
both opportunities and challenges to business sectors and regulatory agencies in the Thai capital market. SEC has set five goals and priorities to address two types of current key issues, namely (1
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
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
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
market business personnel in the categories of investment consultant, investment planner, investment analyst, agricultural commodity trading management official, fund manager and derivatives investment