The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
In pursuant to the Royal Decree on Digital Asset Businesses, B.E. 2561, which took effect on 14 May 2018, allows existing digital asset business operators who submit their requests to SEC within 90
security of systems related to digital asset custody, which could cause significant impacts on clients’ assets. The regulations have taken effect since 16 January 2023. Pursuant to the transitional
different types of securities offering, to improve clarity and practicality. The notification of the amended regulations has been published in the Government Gazette and will take effect as from 1 July 2023
efficiency of fund establishment. The waiver may be granted if there is no effect on Thai investors and without conflict with host jurisdiction regulations on investor protection, such as determination of
effect as from September 10, 2014. Note: Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of
ปฏิบัติตามเกณฑ์เพื่อคุ้มครองผู้ถือหุ้นเดิมที่ได้รับผลกระทบจากการที่หุ้นมีมูลค่าลดลง (dilution effect) แต่หากบริษัทที่เสนอขาย ESOP เป็นบริษัทต่างประเทศ จะต้องได้รับอนุญาตจากหน่วยงานกำกับดูแลของประเทศที่
having effect to investor or capital market in Thailand, regardless of whether such person is principal, aider or abettor or instructor.The consultation paper is available on the SEC website at
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC
approved capital market investment consultant for two months. The sanctions took effect from July 31, 2013. In addition, the SEC disclosed inappropriate behavior of an approved securities investment