DAOL INVESTMENT MANAGEMENT COMPANY LIMITED| | Offering Date : 05/05/2021 - 12/05/2021
types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
SEC Secretary-General Pornanong Budsaratragoon, along with the SEC Management Team, held the joint meeting with AIMC President Chavinda Hanratanakool and senior executives from 26 asset management
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
Bangkok, November 19, 2015 ? The SEC has filed a criminal complaint against (1) Saiphet Thongngao, (2) Sureerat Ardpaksa, and (3) Woraphol Muenbowon for jointly operating derivatives business without
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
market business personnel in the categories of investment consultant, investment planner, investment analyst, agricultural commodity trading management official, fund manager and derivatives investment
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the