amended regulations in this matter have come into force since 16 July 2021. The AIMC is responsible for issuing relevant rules under the SEC’s approval, as part of the investor protection mechanism. If

through local licensed intermediaries in the host country must be authorized or approved for establishment and offering for sale to the public in the home country and must have the characteristics in

without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with

Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related

digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies

the benefits that he received or would have received from the commission of the offense, which is the highest penalty rate prescribed by law, at the amount of 21,284,548.48 baht, and a compensation

The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) have entered into a Memorandum of Understanding (MoU) on Mutual Recognition of Funds (MRF) to

SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in

first three quarters of 2016. The company must also submit to the SEC and publicly disclose the financial statements which have been rectified and audited by the auditor promptly.  Earlier, CHUO's auditor

. Essentially, the primary existing regulations on IPOs which have come into force since late 2016 would remain intact, while certain provisions would be added or revised for more efficient supervision. For