Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), any person operating digital asset business without a license shall be liable to imprisonment for a term of two to five years and a fine of
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
derivatives contracts for five years from the Court’s judgement date, (3) to bar him from serving as a director and executive of securities issuing companies and securities companies for 10 years from the
five years from the Court’s judgement date, (3) to bar him from serving as a director and executive of securities issuing companies and listed companies for 10 years from the Court’s judgement date
meeting results of the 3rd MCMC meeting hosted by the SEC recently in Pattaya City last month. Participated by the five Mekong countries ? Cambodia, Laos, Myanmar, Vietnam and Thailand, the meeting focused
, or service providers with at least five-years of related experience. In case of outsourcing to any other persons, the SEC?s prior approval is needed. The SEC?s consideration will focus on business
application for approval as capital market personnel for the period of five years, effective from July 17, 2013. Importantly, using client accounts for the benefit of themselves or others is considered as the
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure
unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading