the Undertakings for Collective Investment in Transferable Securities (UCITS) directives set by the European Economic Committee (EEC), the SEC shall consider that their requirements on investor

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

BUSINESS ADVISORY COMPANY LIMITED KPM SECURITIES COMPANY LIMITED CREDIT SUISSE SECURITIES (THAILAND) COMPANY LIMITED CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK CREVELING & CREVELING FINANCIAL PLANNING

Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

SEC has discussed with the Stock Exchange of Thailand (SET), the Association of Thai Securities Companies, and the Investment Analysts Association, to develop a shared approach to revising the

interest before deciding to invest. In case of IPOs, investors can access important information in the prospectus provided by the issuer or inquire securities companies. After subscription, investors should

. Based on previous statistics of foreign investment, it is found that investment by Thai investors through securities companies is on the rise in line with SEC’s continuous relaxation of relevant rules and

: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to

Bangkok, October 6, 2014 ? The SEC revoked approval of  2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without