Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions to the rules concerning definition of investors and investment of mutual funds in line with international standards
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
carefully before making an investment decision. In any case, the execution of a unit buy/sell transaction by any person other than the account owner must be authorized in writing in advance
Ms. Ruenvadee Suwanmongkol, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) joined the conversation on the topic, “Writing the Rules of Crypto” at the 6th Future
Ms. Ruenvadee Suwanmongkol, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) joined the conversation on the topic, “Writing the Rules of Crypto” at the 6th Future
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