international standards in the area of Thai securities business. The SEC always emphasizes on anti-money laundering and announced the regulations to ensure that preventive measures against use of securities
be certified or registered and subject to inspection by relevant governmental agencies, strict supervision imposed on limited companies or public limited companies should not apply. This would allow
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
determination of offering price, providing that intention to subscribe the underwritten securities must be clearly disclosed in prospectus and preventive measure for conflict of interest between financial advisor
strict enforcement of the Securities and Exchange Act."________________________Remarks: * Undecided Case No. Or. 90/2024 and Undecided Case No. Or. 441/2024** Relevant news: 1. SEC News No. 117/2023
with the SEC rules on standards of conduct is subject to strict sanction, said SEC Deputy Secretary-General Vasant Thienhom.
SEC’s role in educating the public about investment scam protection and highlighted key preventive measures, including collaborating with social media platforms to block investment scam accounts and
effective cybersecurity plans. SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore
amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
amendment include creation of preventive mechanism against conflicts of interest, selection of intermediaries to support offer for sale of mutual funds of different types that would serve different target