SEC has held a public hearing regarding the notification of “digital asset advisory service” and “digital asset fund managers” as new digital asset businesses during 8 July 2019 – 20 August 2019

capital requirements are also stipulated in the proposed amendments.SEC is now seeking public comments on the revised draft notification on the maintenance of capital which has been refined in certain

.   ** Pursuant to Clause 30(3)(a) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the

unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant

positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a

of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12

Notification* after the public prosecutor had charged them in court on account of failure to perform duties by law at the NMG 2015 annual general shareholders? meeting.  The NMG directors and executives are: (1

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from

securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

.     -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 and Clause 31(1) of the same