Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows: (a) suspending the approval of {A} as securities investment consultant for two months
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
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
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
3 months, the suspension imposed by the SEC shall remain 6 months. Also, the SEC imposed 40-day suspension on the approval as securities investment consultants on {B} and {C}. The suspension of three
provident funds; (2) Asset owners such as the Government Pension Fund, the Social Security Office and insurance companies; (3) Related service providers such as fund supervisor, custodian and investment
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
choices in fund of funds with policy to invest in permissible products and a variety kinds of investment products denominated foreign currencies.Meanwhile, to enhance the business operator?s competitiveness
> Mutual Fund > Offering of Investment Units Regulations SHARE : Detail Content Offering for Sale of Investment Units Summary of regulations The initial public offering (IPO) period shall not be