-General revealed that the Capital Market Supervisory Board approved to revise investment rules for mutual fund, private fund for retail investors and provident fund to support the funds? investment in
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
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit
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, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
unit link ฯลฯ รวมถึงการลงทุนของบริษัทประกันชีวิตโดยยึดหลักธรรมาภิบาลการลงทุน (Investment Governance Code หรือ I Code) เมื่อวันที่ 2 กรกฎาคม 2562 ณ สำนักงาน ก.ล.ต.
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
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31