period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management
higher than the minimum price as appraised by IFA if EMC is not able to satisfy the condition precedent. Moreover, the Project is exposed to legal risks on the issues of building modification; uncertainty
SEC regarding the revision and modification of mutual fund projects. SEC may approve the revision of a project if the revision does not have material impact on the unitholders and does not
). This is to provide investors with sufficient information for making informed investment decisions. Additionally, Thailand ESG Fund will be exempt from the application fee and the modification fee from
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
of big data analysis.Experts in financial technology (FinTech) business will share their views and experiences in transforming large and complex raw data into logical, useful information on investors