List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 06/05/2008 - 12/05/2008
Bangkok, June 20, 2012 ? The SEC Capital Market Supervisory Board resolved to amend regulations on the public offering of newly issued shares by public limited company that its major business is holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in Thailand or in foreign countries) at the proportion not less than 50% of the total number of votin...
หรือไม่ 1. ปฏิบัติตามประกาศ ทธ.39/2555 ในส่วนที่เกี่ยวกับการแต่งตั้ง Head of Compliance รายใหม่ 2. หากต้องปฏิบัติตามข้อ 1. จะสามารถขอผ่อนผันระยะเวลาการแต่ง
the SEA?s Section 241, securities trading of the former GPF head in advance of the fund by using information about the fund?s pending orders (front running) is a breach of professional ethics for taking
business operating results. It could be considered as another important investment alternative for mutual funds, private funds, and provident funds for investment diversification. In addition, as
Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...
access into funding sources. Meanwhile, SEC wishes to increase alternative financing resources for SMEs and startups, apart from equities. Thus, it has supported the issuance of the regulation for
Bangkok, February 28, 2012 ? The SEC has revised issuance rules governing bills of exchange (B/E), short-term debentures and complex structured products to promote more fund mobilization through debt securities. The amendments will take effect on July 1, 2012.B/E has become a frequent tool for fund raising by financial institutions, offering returns similar to those of deposits, with occasional structured features. Such conditions may mislead investors into believing that B/E is entitled to the...
Bangkok, February 28, 2012 ? The SEC has revised issuance rules governing bills of exchange (B/E), short-term debentures and complex structured products to promote more fund mobilization through debt securities. The amendments will take effect on July 1, 2012.????? B/E has become a frequent tool for fund raising by financial institutions, offering returns similar to those of deposits, with occasional structured features. Such conditions may mislead investors into believing that B/E is entitled t...