such service be considered as a part of the portfolio advisory with execution or standing order, as the case may be.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and
entity funds or ultra-high net worth investors.In addition, in order to prevent advantages taken against other investors during the public ICO which opens for the general public to invest, SEC will
The SEC has opined that organizing a shareholders meeting to elect new directors in order for IFEC’s board of directors to have a quorum in compliance with the law would be a proper way for IFEC to
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once
determine internal control measure as a part of their corporate culture. Boards and executives should be aware of necessity to create and foster this corporate culture in order to upgrade standards and
90 days (within 14 August 2018) to continue their business until an order to discontinue their businesses is given. Earlier, SEC disclosed the names of seven digital asset business operators asking
order, the two offenders have become persons possessing untrustworthy characteristics and subsequently banned from the position of director or executive at any securities issuing company or listed company
employees providing advice to the investors in order to prevent conflict of interest in respect of advice provision;4. The wealth advice service providers who are securities brokers may automatically
build financial resilience amid changing situations in all areas in order for them to obtain sufficient savings for their retirement. The SEC is ready to work with the Ministry of Education in helping
unable to contact or identify PVD members. Therefore, in order to accommodate AMCs in making payment out of the fund to PVD members in accordance with the aforementioned law and in managing unclaimed