future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment

Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN

Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020.  Investors are

with customers’ asset safekeeping. This is to allow the general public to reap standardized services, while business operators are under proper supervision, in the same level with supervision on

market.  In order to do this, the Thai capital market must rely on the driving force of the intermediary business operators in driving and strengthening the capital market to become an effective vehicle

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

enactment of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), which requires that digital token issuers and digital asset business operators shall obtain approval and/or proper licenses

of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business

To avoid disruption to economic activities as securities companies and derivatives business operators are key intermediaries for providing investment services to businesses and the public, the SEC

records and its disclosure of liabilities in the financial statements as previously reported in the application for business rehabilitation. The results of the special audit must be disclosed within 30