and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
investment units, there should be no restrictions on types of investors resulting in an insufficient distribution of the investment units. Related Regulations Notification of the Capital Market Supervisory
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
Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
-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