must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
Techamuanvivit, Director of the Investment Management Supervision Department4. Ms. Chutima Leelajindamai, Director of the Legal Department – Corporate Finance5. Mr. Songyod Bunjoungmanee, Director of the
Patronage, thus, plan to train pro bono lawyers with a skill in class action litigation in order to enhance the efficiency of justice. Since class action is the way many defrauded investors can settle
Disri refused to comply, which reflected their unwillingness to settle the case with the SEC at this stage. The SEC, therefore, sent a written request to the public prosecutor to file a lawsuit against
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange
converted Thai Baht to pay for goods and services at merchants would be required to open an account and make transactions through digital asset business operators under the SEC's supervision and e-money