Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
transactions or investment consultants’ employee right to receive shares, investors should check with the compliance unit of the securities company directly to ensure clear details and verification
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred