sellers who have benefited more than they should have (in cases where they still have a sufficient number of units at the time of compensation); (2) To increase flexibility for AMCs to pay monetary
"Anti-scam Hotline” scheme to provide direct channels for reporting investment scams at tel. 1207 ext. 22, or via SEC website at www.sec.or.th/scamalert, or email at scamalert@sec.or.th. The SEC has
for at least two years; (4) To adjust the applicable scope of investment advisory business operators to ensure their implementation of sufficient controls over the management of IT-related risks
stakeholders in the international digital asset industry.” On 1 November 2021, the first day of the webinar, SEC Secretary-General will give opening remarks at 20.00 hours (local time), followed by a live
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC Board Meeting No. 6/2562 has approved the restructuring of the SEC organization at the-line-of-command level, the rearrangement of the
protection mechanisms for debenture holders and bondholders. Principles of the proposed amendment are as follows: (1) repeals requirement on minimum face value of debentures (currently set at 100 Baht per
The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside