Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
-money Laundering Act B.E. 2542, as amended. In any case, filing a criminal complaint is mere commencement of the criminal procedures whereby the consideration of whether any person is guilty is subject
disclose information to the investing public via VDO and Power Point presentations at IPO roadshows. In any case, such visual and audio presentation must contain at least material information, for example
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
attack or any other damages occur. In addition, these business operators must prepare and deliver information involving calculation of net capital. In a case that net capital falls below 1.5 times of the
, including the mutual funds, private funds, and provident funds, is approximately 7.08 trillion Thai baht, or about 44 percent in comparison to the overall GDP of the country. Therefore, if there were any
. However, attending the said board meeting does not clear any directors from wrongdoings in the past. If any of them are found to have obstructed a shareholders meeting or prevented it from taking place
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
management has caused the auditor to be unable to perform any audit to obtain sufficient evidences related to the company?s transactions. Within June 1, 2012, the company is required to submit to the SEC and