, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
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
Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
asset management companies. Both notifications are to be published in the Royal Gazette.“Asset management companies wishing to establish these SSFs can submit draft applications to SEC consideration in
Bangkok, December 21, 2011 - The SEC Board agreed in principle to allow offer for sale of foreign Collective Investment Scheme ("CIS") to non-retail investor in Thailand in accordance with the 2010
regulations to improve fund management efficiency and offer a wider range of investment choices to members. The revision also includes provisions for a central registrar to facilitate employers and employees
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market