Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units

, 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, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow

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

) Philippines, and starts with providing analysis and advice on securities not having complex characteristics, such as stock, bonds, mutual fund, collective investment schemes (CIS) and real estate investment

specific amount. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a

at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a written

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

SEC Secretary-General Ruenvadee Suwanmongkol said that she has signed the notification on Detail of the Mutual Fund Scheme for Establishing the Super Savings Fund (SSF) which has the policy