, the SEC suspended {A} for two months and {C} for one month from duty as an approved securities investment consultant. For {B} with his previous demerit record, the SEC suspended him from duty as an
Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to
fund rating, it shall also comply with Clause 2/1: (1)4 providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal
, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support
the case may be. “support system provider”4 means a person approved to be a support system provider under the notification concerning support system provider. “support system”4 means support system
records related to the custody of client fund issued by the custodial bank, and records related to the custody of client digital assets issued by digital asset custodians permitted to provide such services
could be permitted. In this regard, SEC will arrange a meeting among Thai asset management companies, SFC, the Financial Services & the Treasury Bureau, the Hong Kong Monetary Authority and Hong Kong
permitted as from August 15, 2014.?The global linkages in financial markets bring about challenges for private sector to seek new business alliances and income sources. The SEC facilitates issuance of new
; assets to SEC with information that did not align with the facts found by the SEC's examination. This resulted in the consideration that Mr. Akalarp committed or permitted Zipmex Thailand to make