Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
Mr. Wiboon Phatrapiboon obtained a bachelor’s degree in engineering from Kasetsart University and a master’s degree in Science from Chieng Mai University. Prior to joining the SEC, he was Deputy
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Marnfah Group Company Limited Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S
Mandawee Tour Co., Ltd. Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.33
category of shares (Private Placement) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No. 17/2019 Dated 20/11/2019
obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 1/2021 Settlement Committee Order No. 1/2021 Dated 17/03/2021