of business operators who are not under the SEC’s supervision and the list of products that are not approved for public offering, please visit Investor Alert Page on the SEC website via this link
a business development policy and revising the regulations for the supervision of SEC. The public hearing from the business sector is in furtherance of the first public hearing on 8 May 2019 in
digital token holders.The SEC has therefore amended the regulations governing supervision of real estate-backed ICO, as part of the short-term implementation plan to tighten supervision of digital token
Bangkok, July 23, 2013 ? The European Commission ("EC") announced its decision to recognize Thailand auditor oversight under SEC?s supervision as equivalent to those of the European Union ("EU
Bangkok, April 21, 2016 -- The SEC is seeking public comments on draft rules concerning supervision on trigger funds and advertisement of other types of mutual funds, to be imposed on relevant
Luxembourg ("CSSF") to promote mutual collaboration in exchanging information on the supervision of mutual funds on November 28, 2012.The MoU aims to enhance collaboration in exchanging information on
, name and contact address of clients in Thailand, records of their meeting with clients, lists of tradable securities, and records of investment fees charged on clients. SEC also finds that Broadgate
together with other three aiders or abettors, namely Budget Management and Design Co., Ltd., Montian, and Chai (or Kittiwut). Other than Section 312 of the SEA, they were charged on fraud, embezzlement and
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges