application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been
. There is no limit on the number of operating licenses.Presently, it has been found that those who have used digital assets to take advantages and deceive people on investment. SEC would like to ask the
. “It is part of the SEC Investor Education Strategy to build the public’s immunity against investment scams and equip them with knowledge and skills on financial and investment management to help them
surveillance through information sharing to keep pace with cybersecurity threats. In addition, all service users and investors should be aware of the use of technology and the threats that may come with it, by
provided answers to those questions. However, it was in a limited circle. This seminar, held jointly by the Sheikhul Islam Office and the SEC, would make the knowledge about shares and trading of shares more
value of business. ESG is a must- have element in today’s environment and It can contribute to sustainable business operation. Therefore, the SEC gives priority to promoting stakeholders’ awareness of the
to the clients. For a pooled fund, the AMC would be required to disclose the PVD factsheet to the public and the PVD members, as well as submit it to the SEC within five working days after the new PVD
business operators. This is because such unlicensed activities do not come with legal protection, and the investing public is exposed to the risk of falling victim to scams. It should be noted that all
the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(1) and