Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of other companies, which offer high returns along with having minimum investment amounts and an investment period no more than one year. Promotions such as financial rewards or bonuses are also being publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook adver...
Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue. Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division
fact nonexistent and could not be collected from the company’s clients. The four persons shared the roles in this regard to order a record of false income. In addition, the criteria for advertising sales
Fixed income funds are steadily growing with more diversified investment portfolios. As of the end of 2018, net assets value of fixed income funds was approximately 2.6 trillion baht, most of
The Revenue Department has prepared a draft bill amending the Revenue Code relating to the improvement of income tax payment from investors investing in debt securities through mutual funds. The
manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30
The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management