premises of a service provider, investors should not pay in cash and should transfer the payment directly to the account of the service provider to prevent possible damage from frauds
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
account) ยังคงต้องปฏิบัติตามหลักเกณฑ์ที่เกี่ยวข้องในเรื่องการจำกัดการใช้สิทธิออกเสียงและการแจ้งข้อมูลการถือหน่วยลงทุนที่เกินสัดส่วน เพื่อให้ บลจ. เปิดเผยให้ผู้ถือหน่วยลงทุนทราบ ทั้งนี้ การปรับปรุงหลัก
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
onwards. In considering these amendments, SEC has taken into account opinions received from business operators and related parties during the public hearing which took place earlier.________________________
revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the
Securities and Exchange Act. On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions
The regulatory revision on the information disclosure and an issuer’ auditor takes into account the readiness of the capital markets without creating too much burden for stakeholders. Significant
related party transactions as well as the re-definition of relevant terms to increase clarity and flexibility. In so doing, the SEC refers to international regulatory guidelines and takes into account the