Board No. Tor Nor. 3/2556 Re: Rules for Delivery or Distribution of Prospectus and Offering of Investment Units Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
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
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows: (a) suspending the approval of {A} as securities investment consultant for two months
-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