investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
Bangkok, 3 April 2018 ? The SEC applauds four provident funds for their declaration of intent to adopt the Investment Governance Code (I Code) for institutional investors in accordance with
Bangkok, May 9, 2014 ? The SEC supports Thailand Post, Counter Service at 7-11 and other leading retail shops, and Tesco Lotus to be paying agents for investment in mutual funds by this June. With
Bangkok, August 18, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General said that the SEC recently presented the benefit of infrastructure funds for infrastructure development in Thailand to Air
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
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Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
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