, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse

The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online

Bangkok, May 9, 2014 ? The SEC supports Thailand Post, Counter Service at 7-11 and other leading retail shops, and Tesco Lotus to be paying agents for investment in mutual funds by this June. With

As the SEC and SFC have developed the bilateral cooperative framework regarding HK-TH MRF to facilitate cross-border offerings of funds between Hong Kong and Thailand, this by extension will help

SEC Secretary-General Ruenvadee Suwanmongkol said that supporting small and medium-sized enterprises (SMEs) to access financial instruments in the capital market is one of the factors that readies

sustainable development of the respective capital markets. In the initial phase, the SEC has developed Additional Guidance for disclosing sustainability information for Hong Kong's ESG Funds, intending to

true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure

dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities

forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an

perform duties or provide services honestly and a wrongful treatment of investor assets in contravention of the governing Notification of the Capital Market Supervisory Board. The SEC therefore revoked his