Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in

the Civil Sanction Committee. The civil monetary penalties totalled 1,567.70 million baht and the compensations for the benefits received or should have been received totalled 194.32 million baht. The

The BOT and the SEC previously discussed and reviewed the benefits and risks of digital assets and deemed it necessary to regulate and control the use of digital assets as a means of payment for

’ decision making; (4) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5) These ICOs may lack trading liquidity and may not

also received benefits from other relevant acts. His action  was deemed a violation of Section 89/7 and subject to penalties prescribed in the second paragraph of Section 281/2, Section 307, Section 311

except real estate, leasehold interest in property or seeking benefits by other methods; “property fund manager” means a property fund manager under the Notification of the Office of the Securities and

 trading activities of one group of individuals. According to the SEC’s further investigation, there was sufficient evidence showing that on 7 and 17 November 2014 Thanadej, Naruedee, Nitis and Winyoo had

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any