refresher course for IA renewal, ensuring common standards across the industry;   (3) To establish transitional provisions to accommodate the refresher course training for IA who have already started training

account. By providing the required information only once via the standard single form, investors will have more convenience in opening investment accounts of all types of capital market product, for

The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral

oversight of alternative investment fund managers who have operated cross-border businesses in partner countries. Currently, two funds have been established and offered by Thai fund management companies

of December 2020.   In any case, to be eligible for the waiver or the rate cut of annual fee, the securities issuers must not have a record of criminal fining or criminal complaint for failure to

enhance the speed and efficiency of the trading process of corporate bond. Currently two companies have issued and offered corporate bonds for sale using the blockchain system of ThaiBMA, namely (1

time in order to have cross-regional discussion that serves the objective of this forum. The uncertainties caused by the pandemic have emphasized the importance of the forum as a venue for gathering

In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related

Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should have

have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC