when the offenders sign letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the
2016. Investment consultants must not abuse their duties to seek unfair benefits from investors no matter with or without clients? consent. In any case, the SEC takes strict action against all offenses
executive for a period of 22 months. The civil sanctions prescribed by the CSC will take effect once the offender signs a letter of consent agreeing to comply with the sanctions. If the offender refuses to
, with the requirement that during the first two years, the records must be stored in a format that is readily accessible for the SEC’s review or inspection. The Notification concerning the amendments has
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
limit. Share issuers must disclose such information sufficiently and publicly. As to more complicated corporate governance aspects and information that is less accessible and difficult for investors to
it applies for the license. In addition, the applicant must operate the business in a way that promotes, supports, or is related to services of securities business. It must also have network accessible
cross‑border investment within ASEAN more accessible, efficient, and liquid; and (2) Digital Working Group, covering the formulation of guidelines for tokenized investment products, the promotion of the