specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October
comparative studies on laws and regulations of specified foreign jurisdictions to facilitate the listing of foreign securities on the Thai bourse.
-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues as specified by Section 289 of the SEA. The SEC
specified internationally accepted accounting standards;- The SEC-approved financial advisor must provide service and advice for three years;- Additional information must be disclosed in the registration
comply with relevant rules and regulations as well as submit information and clarify matters clearly and completely as specified by the SEC and the SET.Information to be submitted and clarified by POLAR
varieties of assets according to suitable risk profile. For example, funds offered to retail investors are now allowed, on the condition that pre-specified ratios apply, to invest in non-listed infrastructure
DSI a favor to inform the SEC of the matter within 30 days in order to allow the SEC to consider the application for establishment of the fund within the specified period.
for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to