Bangkok, 7 February 2018 ? All of the 26 members of the Association of Asset Management Companies (AIMC) have declared their intention to adopt the Investment Governance Code (I Code) for
principle proposes revision to the types of permissible investment products and the qualifications of commercial banks eligible to provide investment and deposit services in relation to asset custody of
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
-related risk information, to investors and stakeholders via the 56-1 One Report. The SEC has published the Guidelines as a manual that asset managers who manage mutual funds, private funds and provident
Bangkok, March 6, 2014 ? The SEC circulated guidelines for listed companies to disclose information on asset disposal to mutual fund (i.e. property fund, infrastructure fund), or real estate
damage at the amount of 20,000 baht. SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while...
billion baht, and to authorize NUSA’s Executive Board to consider the sale conditions for each asset. On 28 December 2023, NUSA informed the SEC that the company had not yet entered into any contracts to