Bangkok, November 10, 2015 ? SEC promotes another long-term savings channel for exiting employees by allowing them to transfer the total benefits in the provident funds (PVD) to retirement mutual
Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other
transfer of proceeds from PVD to Retirement Mutual Fund (RMF) in preparation for the amendment to law on provident fund. The proposal aims to provide PVD members unable or not intending to maintain their
Bangkok, 25 October 2016 ? The SEC is seeking public comments on the draft rules concerning transfer of retirement mutual funds (RMF) and long-term equity funds (LTF) in case of fund dissolution to
provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of
without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
, 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
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam