units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
Bangkok, 23 June 2017 ? The SEC has ordered Polaris Capital Public Company Limited (POLAR) to have an auditor conduct a special audit on the sources, existence and completeness of its accounting
International Banks (AIB), the Association of Securities Companies (ASCO), and the Thai Listed Companies Association (TLCA), launched a project called ?A thousand baht, Start a journey to your dream? to promote
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
addition, trigger fund fees are higher than those of general funds and the total expense ratio (TER) is in the range of 1.12 ? 4.5 percent or a 2.8 percent average compared to 1.8 percent in general equity
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
, which may lead to imprisonment from 5 to 10 years and a double fine based on the asset value or the benefit received from violation of such sections, as the case may be, but in any case not less than
titled "Managing Climate-related Risks and Opportunities in Equity Analysis and Investment." The webinar, co-organized by Thai SEC, CFA Institute and CFA Society Thailand, is aimed to provide insights
Securities in jurisdictions which are signatories to the MOU, in order to foster ASEAN capital markets integration. Under the proposed Framework, the review process for a multi-jurisdiction offering of Equity
The Securities and Exchange Commission, Thailand (SEC Thailand) today co-organizes a webinar with the CFA Institute and the CFA Society Thailand on “Guidelines for ESG Integration in Equity Analysis