on private sectors. The proposed rules aim to promote the Thai capital market as a fund mobilization channel for foreign companies. The key essenses include the followings: - any foreign issuer whose
clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
trading orders when obtaining orders from clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re
Mr. Peerasit Jiwapong Mr. Peerasit Jiwapong, a Chief Executive Officer of a digital asset fund manager called Merkle Capital Company Limited (''Merkle'') at the time of the
concerning duty performance of derivatives business operators and the prescription of the persons holding the prescribed positions must obtain an approval from the SEC Office shall be the power of the Capital
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
) Signature affixed in the company’s audit report pursuant to Clause 3 of the Notification of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market since ............(YEAR
market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this Notification comes into