information useful for making prudent decision before using investment services, the SEC has prepared a list of unlicensed or unregistered business from the traces and complaints received from investors and

Using Credit Rating Information (No. 2) (12) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 46/2567 Re: Exemption for Holding Crypto-Assets by Mutual Funds or Private

, using the key measures of preventing, deterring, and suppressing wrongful acts. So far, the Project has made significant progresses.On 1 February 2024, the SEC Board Meeting No. 2/2567 gave its approval

According to the referral from the Stock Exchange of Thailand (SET), persons were found to have taken action liable to be an offense related to the sales of SQ shares by using inside information on

through bank accounts in Thailand, or using the Thai language on websites or applications. “The SEC will collaborate with the Ministry of Digital Economy and Society and relevant agencies, including the TDO

environmental disclosure system for companies, cities, states and regions. Founded in 2000 and working with more than 680 financial institutions with over $130 trillion in assets, CDP pioneered using capital

bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure

other signatory jurisdictions under a streamlined authorisation process. Fund managers using this framework will have to abide by a set of common standards (the “Standards of Qualifying CIS”) designed

permission from service users before using information, otherwise, businesses will be guilty by laws. Risks and cautions