Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies
Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business
Bangkok, June 5, 2014 ? The SEC joined with the Association of Thai Securities Companies, the Association of Investment Management Companies, the Thai Bond Market Association, The Thai Bankers
intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as
corporate fund raising through bond issuance. The project will provide the business operators interesting in bond issuance with a forum to exchange views and experiences with institutional investors and for
provide the five-step wealth advisory service under the scope of their licensed business. Other interested business operators may submit an application for approval to SEC and SEC will consider their
capital market and listed on the bourse will provide businesses with access to funding at reasonable cost. The company management will be improved to be more systematic and transparent. Pride of the