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Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers? specifications or the SEC Notifications regarding management of mutual funds, private funds or provident funds. The adjusted procedures give asset management companies that commit immaterial offences time and opportunity to correct their mistakes or pay remedies in protection of investors? int...
Bangkok, November 5, 2007 ? The SEC today ordered Pacific Assets Public Company Limited (PA) to provide additional information related to the company?s investment in the Chedi Phuket Project after
This is according to the news this morning stating about shares sold by mutual funds due to huge redemption of investment units. Mr. Thirachai Phuvanat naranubala, SEC Secretary-General stated
Bangkok, January 11, 2010 ? The SEC is inviting public comments on the proposed revisions to investment regulations of mutual funds, private funds and provident funds to enhance practicality, reduce
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of