Facebook Page ชื่อ Manage future trade : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
Facebook page “Manage Mutual Funds” impersonates “BBL Asset Management Co.,Ltd” : Unlicensed securities and derivatives business (Disclosure Date : 02/09/2024)
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Facebook Page ชื่อ Manage future trade - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 16/07/2567)
Facebook Page อ้างชื่อ Manage Mutual Funds - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 02/09/2567)
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
2. Mr. Thanathorn ChuchatpongFollowing order of person who is not an account owner or authorized by the client causing damage to such client
Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Mr. Narongwet Weerakeatkumjorn2. Mr. Somporn Khunrang Making decisions to buy or sell securities for clients without clients? order Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer d...