considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the client’s
services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c
Province.The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, collaborated with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and the Bank
Policy Office (FPO), the Bank of Thailand (BOT), and the Deposit Protection Agency (DPA), delivered lectures on finance, investment, deposit protection, and raised awareness against investment scams to
similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair
the date on which the SEC Office has received the application, supplementary documents and letter of certification which are complete and accurate. In cases where the SEC Office needs to consider
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities