investment planner, for three months starting from 7 April 2020.  _______________________Notes: *  Failure to perform duties with responsibility and deliberation as a professional under

risk management. SEC subsequently conducted a public hearing on the approved principles during the months of April and May 2020 to which all respondents agreed with the principles for amending the repo

commencement of the prosecutor’s case filing to the Court of Appeal’s final decision, was relatively fast, taking only two years and three months to complete. Should the defendants fail to comply with the

complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant

implement within six to 12 months following the signing of the MoU. Further details of the mutual recognition of funds scheme are set out in the SFC circular and the SEC circular issued today

, said: ?During the past 10 months, the SEC has successfully imposed civil sanctions on 21 offenders, either natural or juristic persons, in the total of eight cases. The offenses involved misuse of inside

provisions, digital asset business operators who had provided custody of clients’ assets prior to the effective date of the regulations are required to fully comply within six months as from the effective date

seeking listing on the Stock Exchange of Thailand’s LiVe Exchange. A public and stakeholder hearing on the matter was conducted during the months of May and June 2022.  The SEC later issued a notification

period of 12-31 months (as the case may be)*. However, as they all refused to comply with the civil sanctions specified by the CSC, the SEC has sent a written request to the public prosecutor to file a

subject to temporary trading suspension. In addition, the company must proceed to have new operating business to meet the SET regulations within 12 months while its business plan remains unclear