, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of

. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible

’ meeting and other related documents may be sent electronically.At the same time, SEC is setting out a clear guideline for determining in which cases asset management companies may seek an approval from

Earlier, Mr. Suphanan acting on behalf of IFEC sent a letter requesting the DBD to reveiw its order denying the registration of Mr. Wiphu Maharakkhaka and Mr. Manusak Deawwanich on IFEC directors

May 2020, SEC sent a circular to AIMC, the Provident Fund Association and the asset management companies with PVD portfolios, notifying the Notification of the Finance Ministry and requesting that asset

bank accounts of nine persons, namely Pataman, Supichaya, Meesak, Apinunthakan, Tepparit, Tree, Phawit, Siriya, and Chanatip.  Trading from these accounts were sent and matched within the group in the

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

channels to unitholders because the fund’s annual report has already been required to be sent to unitholders and published on asset management companies’ websites. Also, the rules on fund manager training

seek unfair personal gains all over again.  In addition, some of the investment consultants sent selling orders of investment units in the clients' accounts by counterfeiting unit sale documents, opening

According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading