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Facebook Page ชื่อ Investment fund : Unlicensed securities and derivatives business (Disclosure Date : 12/12/2023)
Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers? specifications or the SEC Notifications regarding management of mutual funds, private funds or provident funds. The adjusted procedures give asset management companies that commit immaterial offences time and opportunity to correct their mistakes or pay remedies in protection of investors? int...
Bangkok, January 11, 2010 ? The SEC is inviting public comments on the proposed revisions to investment regulations of mutual funds, private funds and provident funds to enhance practicality, reduce
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
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, January 21, 2014 ? The SEC revised rules governing provident fund investment for more clarity and flexibility in line with international standards. The new rules have become effective in
Bangkok, August 13, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing fund investment in Greater Mekong Subregion (GMS) to wider variety of investment choices. The