cease or transfer business operations according to license type; (4) Revising the rules for collecting client information and KYC: Granting an exemption for a business operator receiving a transfer of
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
Taxonomy: a Reference Tool for Economic Activities according to Environmental Objectives and the ASEAN Transition Finance Guidance (ATFG). The SEC has participated in developing of both guidelines,” added
Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite
MACO’s entire advertising media in Thailand because MACO plans to change its business direction, from direct provider of advertising media services to owner of advertising media. According to the new
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
to the public without the necessity to request for permission from SEC, according to the meeting resolutions of SEC Board on 1 August and of the Capital Market Supervisory Board (CMSB) on 5
hosting an annual conference must be submitted three years in advance. The SEC will submit the proposal for hosting the IOSCO annual conference on 7 June 2019 according to the IOSCO schedule. If passing