Thai Mutual Recognition of Funds × Home > กฎหมาย / กฎเกณฑ์ > สรุปกฎเกณฑ์ > กองทุน > Cross-border
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
recognition of funds, following the Memorandum of Understanding for Promotion of Economic Connectivity between Hong Kong and Thailand, signed by Deputy Prime Minister Somkid Jatusripitak and the Honourable Mrs
The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) have entered into a Memorandum of Understanding (MoU) on Mutual Recognition of Funds (MRF) to
As the SEC and SFC have developed the bilateral cooperative framework regarding HK-TH MRF to facilitate cross-border offerings of funds between Hong Kong and Thailand, this by extension will help to open up new business opportunities for asset management companies to expand investor bases and enrich the types of financial products offered to investors in both markets. In addition, this joint effort will strengthen capital market cooperation in accordance with the Memorandum of Understandin...
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้ารับโล่ WEPs Exemplary Ally Recognition ในงาน the UN Women 2022 Thailand WEPs Awards Ceremony ในฐานะ