have been taken into consideration. The regulation may not be perfect yet, but it’s the start allowing us to learn from the real use case together with the industry

suitability, update of customers’ information, use of consulting experts, no pressure on customers’ decision-making, and specific conditions for digital asset trading centers and dealers like a case of

be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has

disclosure of the related party transactions during the past there years;  - clearer disclosure of the funding objective in the registration statement and more flexibility in case of change to such objective

offering shares or convertible debentures for sale in a private placement in the same manner as the SME case while specifying more measures for investor protection. For example, a business must seek the

be a parent company or a subsidiary of the derivatives broker on the filing date of the case.          The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=942

imprisonment and fines. In case of activities liable to violation of other laws outside the SEC’s jurisdiction, the SEC will collaborate with the related agencies and authorities for further proceedings

client and seeking benefits from the client during the performance of duties.   From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

scheme of minimum 100,000 baht investment for 12 months to earn a high return of 15 percent per annum.  In the case of Lederer (Thailand) and its authorized director Kanyakorn Supakarnkachareon, investors