proprietary trading will also be required to prevent impact on the business operator?s financial condition and reputation. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders
) Bangkok Capital Asset Management Co., Ltd., (21) Denali Prestige Asset Management Ltd., (22) Solaris Asset Management Co., Ltd., (23) Phatra Asset Management Co., Ltd., (24) Manulife Asset Management
Trust status with the SEC. The SEC is therefore conducting the public hearing on the proposed principles and draft relevant notifications, requiring VC or PE Trust preferring revenue tax exemption to
Trust status with the SEC. Such VC or PE Trust must also have qualifications in accordance with the rules, procedures and conditions as specified by the Director-General of the Revenue Department. The
positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a
and to arrange a special audit on the sources, existence and status of such debts which consequently caused EARTH to apply for business rehabilitation. The results of the special audit must be disclosed
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed
securities business operation can give additional information to the ECD Police at 0-2237-1199.Investors are strongly advised to consult the License Check page at www.sec.or.th to verify the status of