According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on 27 November 2020, “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to apply for an applicable license with SEC. In this regard, SEC adopts the regulations on busin...
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
business for a period of 10 years, effective from 6 May 2020. _______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the
capital market business for a period of 10 years, effective from 6 May 2020._______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of
The 33rd ASEAN Capital Markets Forum (ACMF) Chairs’ Meeting virtually held today in Hanoi endorsed the key priorities for its Action Plan 2021 – 2025 to realise the ACMF Vision 2025 of being an inter-connected, inclusive and resilient ASEAN capital market. These key priorities are: (i) driving higher levels of transparency and disclosure; (ii) continuing with regulatory harmonization; (iii) intensifying capacity building; (iv) amplifying communication and awareness; and (v) strengthening co-oper...
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation