. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
The SEC is considering amendments to the regulations regarding the submission of the financial statements by REIT managers to reduce redundancy and the burdens of REIT managers who are mutual fund
The enhancement of fund managers’ duty performance in accordance with I-Code** will be supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The
Collective Investment Schemes (CIS) Framework. The Framework enables fund managers operating in one jurisdiction to offer funds constituted and approved in that jurisdiction to retail investors in the other
Bangkok, July 18, 2013 ?The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against (1) Maris Tarab, former managing director of ING Funds (Thailand) Co., Ltd. (ING Funds) and former fund manager of T.U. Dome Residential Complex Fund (T.U. Dome Fund), (2) Burim Chombhubol, another former T.U. Dome fund manager, (3) Bania Co., Ltd., (Bania) and (4) Suthapa Khemaprueth, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found that T.U....
The SEC has provided guidelines for promoting the growth of digital asset custodial wallet providers (DA custodians) by supporting them in maintaining appropriate costs. This initiative aims to increase alternatives for digital asset businesses seeking to store client assets with domestic DA custodians. Additionally, the SEC is working to enhance the digital token ecosystem by facilitating both primary market offerings and secondary market trading. To achieve this, the SEC is reducing the NC req...
SEC has held a public hearing regarding the notification of “digital asset advisory service” and “digital asset fund managers” as new digital asset businesses during 8 July 2019 – 20 August 2019