Facebook accounts are not licensed securities or derivatives business operators in Thailand. Investors are therefore advised to be careful with any investment solicitation of such entities because the
existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished or revised to
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in order to increase opportunities for, and facilitate, investors to access information of products in ASEAN capital market, and to complement an initiative of ASEAN Capital Markets Forum (ACMF) which aims to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules...
not submitting the latest annual financial statements within the specified period, the SEC will calculate the annual fee based on the shareholders’ equity presented in the previous annual financial
case of REITs and Infra Trusts, a trustee must notify the trust manager of their resignation not less than 90 days in advance. The trust manager must notify the public by Electronic Company
and submit the findings and views to public prosecutor who has authority to prosecute the case against the offenders. The consideration of whether person is guilty or not is thereafter vested on the
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the