) clear separation of area for selling of investment units from others. The SEC will randomly inspect commercial banks. The SEC also urged asset management company and trustee to emphasize on effective
Bangkok, September 24, 2012 ? CFA Institute in cooperation with the SEC and CFA Society Thailand will host an international event ?Thailand Investment Conference? on 5th October, 2012 at Conrad
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
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
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three). The deadline is extended to 15 January 2018.Earlier, the SEC instructed PACE to clarify the
According to investors’ tips and SEC’s investigation, there are public solicitations for investment in investment units via online media channels such as company website, Facebook and Line