and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
investment units, there should be no restrictions on types of investors resulting in an insufficient distribution of the investment units. Related Regulations Notification of the Capital Market Supervisory
Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which became effective
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
, effective from 12 October 2018; (b) suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater
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