investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training
combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full
securities companies? efficiency where quality of personnel in securities business either investment consultants or back office staff, will be strengthened. For investment consultants, training on wealth
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
the category of mutual fund management; “Training institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and
a consideration of license revocation pursuant to Section 35, Paragraph 3, of the Digital Asset Business Law.” ______________________Remarks:Related news releases and notifications: - SEC News No
, the Ministry of Digital Economy and Society, in issuing public warning releases; (3) Filing criminal complaints with the authority regarding investment scams specifically in the cases of
and relevant agencies.” Remark: * Related news releases 1. SEC News No. 116/2023: SEC files a criminal complaint against 10 offenders with the DSI for falsifying STARK financial statements, making