diversify their services more efficiently.”In any case, to provide any of the two services above, intermediaries have to make an agreement with their clients regarding portfolio advisory with execution or

, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the

regulations, and revision to the regulations governing shareholders’ offering of a limited company’s equity in case of trading crowdfunding equity in the secondary market to be in line with the primary

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

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

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

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