Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a mutual fund. Such factors include emotion, personal belief and attitudes toward different channels o...

Order No. 4/2020 Dated 23/01/2020

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

/2020 Settlement Committee Order No. 16/2020 Dated 20/05/2020

. SEC Act S.56(2) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 23/2020 Dated 02/09/2020

Order No. 5/2020 Dated 23/01/2020

?), shall be liable, under section 283 of the Securities and Exchange Act B.E. 2535, to an offence of Bualuang Securities. The offence of Bualuang Securities is a result of an order or an act of Mr. Khophong

Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 30/2020 Dated 18/11/2020

Market Supervisory Board. Mrs. Phenchan later filed the reports (Form 59-2) to the SEC Office on December 27, 2019. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee Order No. 3