Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions, name and contact address of clients in Thailand, records of their meeting with clients, lists of...
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations.In this regard, SEC has developed, reviewed, and revised regulations on the operation of investment manage...
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 27/02/2012 - 05/03/2012
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Gold Fund,Structured Note Fund,Specific Fund
KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 23/02/2016 - 24/02/2016
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Specific Fund
KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 28/03/2016 - 30/03/2016
TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 19/03/2014 - 28/03/2014
TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 28/04/2016 - 09/05/2016
SCB ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 31/05/2011 - 07/06/2011