or a relationship in any aspect or any other circumstances. “executive” means a manager, deputy manager, assistant manager, department director, or any person who holds a position equivalent to any of
Following receipt of clue information, the SEC conducted an investigation and found that since 12 January 2022, 1000X, the service provider of the website https://www.1000x.live (“1000x.live”), had
assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht: 1
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
approval by the Office to be a custodian only if such person has the following qualifications: (1) Its financial position must be as follows: (a) In the case where the applicant is a financial institution
the approval by the Office to be a custodian only if such person has the following qualifications: (1) Its financial position must be as follows: (a) In the case where the applicant is a financial
applicant shall meet the following requirements: (b) Not being involved or having been involved in or supporting the actions of any person who is currently imposed with a
investor and big retail investor; “units” means the following securities of a foreign collective investment scheme or those issued under foreign ETF with an objective to invest in securities, financial
-hour service)· Postal mail to SEC Office· In-person meeting with SEC officer during office hours of business days· Facebook page at https://www.facebook.com/sec.or.th_______________________
departmental director, a branch manager and shall also mean a person holding any equivalent position called otherwise who is in charge of the following business functions, as the case may be: (a) Business