The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to increase purchasing power. SEC therefore proposes the inclusion of additional securities classes for...
Mr. Vijchu Chantatub During 24 - 29 October 2018 and 13 November 2018, Mr. Vijchu Chantatub as a private fund manager, managed a private fund without honesty and care to preserve the interests of the
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
-Meeting) with the agenda for consideration and approval of the following:Agenda 1: Consider approval of the following issues:1) Extending the maturity date of the bonds by another 2 years2) Partial
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
, trustworthiness, and competitive advantage. ?The SEC wishes to enhance the roles of audit committee by prescribing proper educational background and accounting experiences, extending scope of roles and duties to
Cybersecurity Law, such as Vulnerability Assessment and Penetration Test, etc.; and (6) Revising the third-party management provisions by extending the scope to include IT service providers or business partners