of debenture without approval in violation of Section 33 and subject to the penalties under Section 268 of the Securities and Exchange Act B.E. 2535 (1992) (SEA); meanwhile, Ornpaphat and Kanyakorn

his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the

’ meeting and other related documents may be sent electronically.At the same time, SEC is setting out a clear guideline for determining in which cases asset management companies may seek an approval from

) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval.  If approached with a solicitation to invest in

have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such

specified conditions, such as qualifications and disqualifications, more flexible approval process, including rules on performance of services similarly to the current rules on oversight of investment

early 2019. The SEC will specifically participate in the efficiency assessment of securities regulation and supervision. In revising the rules on approval and disclosure of information by equity issuers

Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market, dated 23 September 2010.

money more efficiently, the SEC, with the approval of the Capital Market Supervisory Board at the Meeting No. 10/2565 dated 22 September 2022, is proposing a regulation that would require AMCs

ในระบบอนุมัติจัดตั้งและจัดการกองทุนรวม (Online Fund Approval and Management System) เพื่อใช้เป็นแนวทางในการยื่นขออนุมัติจัดตั้งและแก้ไขโครงการจัดการกองทุนรวมให้เป็นไปตามแนวทางการเปิดเผยข้อมูลในโครงการ