Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
funds for accredited investors (AIs) investing in securities listed on the exchanges in the Greater Mekong Sub-region (GMS) and mutual fund without derivatives investment limit. The SEC also urged the
Governance through Responsible Data" at the SET Sustainability Forum 1/2024: Grounding Greater Governance for Good along with Ms. Wiyada Wiboonsirichai, Head of Global Internal Audit and Compliance, Banpu
บริษัทในกระดานซื้อขายหุ้นของธุรกิจเอสเอ็มอีที่จะเปิดให้ผู้ลงทุนเฉพาะประเภท Accredited Investors (AIs) ทำการซื้อขายได้ในอนาคต ซึ่งอาจมีการผ่อนปรนคุณสมบัติบางประการ เช่น ประสบการณ์งานสอบบัญชี เวลาการเซ็น
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment