amended regulations in this matter have come into force since 16 July 2021. The AIMC is responsible for issuing relevant rules under the SEC’s approval, as part of the investor protection mechanism. If
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
SRI Funds and bonds.* Additional details for SRI Fund include investment policy, investment unit value, net asset value, dividend policy, fund fees and past performance. The information is available
market. The rest can invest in other assets investible by debt securities funds and investment in distressed bonds is prohibited; (5) Concentration in corporate bonds of any issuing company must not
opportunity for investors to select products and services suitable for their personal needs. The SEC is therefore proposing the use of single form to reduce the burdens on investors and intermediaries
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to
12 March 2019. Currently, she does not perform duties at any securities company. In this regard, it is deemed that the approval as assistant manager or an equivalent position has lapsed since 12
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak
-oriented support to the fund industry to promote long-term investment in mutual funds, aiming to foster financial well-being for youth education as well as post-retirement living. Additionally, a focus is