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
unit link ฯลฯ รวมถึงการลงทุนของบริษัทประกันชีวิตโดยยึดหลักธรรมาภิบาลการลงทุน (Investment Governance Code หรือ I Code) เมื่อวันที่ 2 กรกฎาคม 2562 ณ สำนักงาน ก.ล.ต.
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
.,Ltd to the address changed by her request. In case of the second client, Thanjira had signed the client?s name for submission of investment unit switching and buying orders and changed the address for
Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
carefully before making an investment decision. In any case, the execution of a unit buy/sell transaction by any person other than the account owner must be authorized in writing in advance