not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any
PE Trust status with the SEC and transfer unit trusts to others in accordance with the investment and condition requirements as prescribed by the Revenue Department. Currently, PE trustees are required
fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PIA) form.To ensure complete information in the report which will replace the PIA, SEC has proposed
issuing shares for sale to the public and listed companies from operating business with the characteristics of investment company, except companies operating a financial institution business;** (2
. It will help people to end up with more savings and meet with their financial goals. ?A thousand baht, Start a journey to your dream? Project aims to promote investment on a voluntary basis and help
-oriented support to the fund industry to promote long-term investment in mutual funds, aiming to foster financial well-being for youth education as well as post-retirement living. Additionally, a focus is
On 2 March 2023, the SEC Board Meeting No. 5/2566 passed a resolution approving in principle the proposed amendments to the regulations regarding the ICO of investment token, digital asset custodial
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with