financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
Bangkok, October 6, 2014 ? The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
investment grade ratings bonds and (2) investment units of a mutual fund, which trades on every business day and does not have any restriction on transfer and pledge. In addition, such securities will be
Kasikornthai Asset Management 3 Tisco Equity Growth-SSF Tisco Asset Management 4 Bualuang Thai Equity-SSF Bualuang
companies ? Kasikorn Securities, Tisco Securities, Krungsri Securities and Phatra Securities - and three asset management companies - Kasikorn Asset Management, Tisco Asset Management and Krungsri Asset