demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
disclosure, a prospectus, progress reports of a project and use of proceeds. The offering of digital token must be made through ICO portals approved by SEC Board. The role of ICO portal is to perform due
conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance with the rules specified in Clause 4
shareholding structure of the financial conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance
million baht of a client of Mr. Pattarawut Thunyajaroen with a view of selling investment units and failed to check whether there was any withdrawal request slip. In addition, she failed to follow up on
stance will bring confidence, and help fostering market mechanism and standard practices that they can follow. For investors, appropriate regulation can incentivize market solutions to help investors