Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed

sectors convenience for issuing debt securities for fund mobilization while putting in place an appropriate mechanism for investor protection as debt securities is indeed an investment choice. Hence, the

Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the

investment advice or investor contact.  Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not

At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by  SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took

Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing 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 Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were...

account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person

incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility

Presently, several companies are interested to raise fund through digital token offer to finance their investment in office buildings or condominiums which will later be rented for income shared to holders of digital tokens or real estate-backed initial coin offering (ICO). Meanwhile, the regulations have not yet extended to such fund raising method and a smart contract has not yet covered an enforcement of investors’ rights in some issues which are activities occurring outside blockchain...

supervision of subordinated perpetual bonds to strengthen investor protection and simultaneously develop the debt securities market. In this regard, such type of bond to be offered for sale to the general