act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
Bangkok, January 6, 2015 - The Securities and Exchange Commission, Thailand (SEC) and the National Institute of Development Administration (NIDA) signed a memorandum of understanding (MOU) to form ?Academic Alliance? project to develop knowledge management for public and private sectors as well as economic, social and capital market development. The project aims at creating quality graduates through a variety of academic projects. Vorapol Socatiyanurak, SEC Secretary-General said, "This MOU sign...
In a case that at the minimum 80% of targeted fundraising amount in crowdfunding project are subscribed, this is regarded as successful debenture crowdfunding. This regulatory revision aims to assist small- to medium-sized enterprises (SMEs) to gain greater access into funding sources, and to be in line with overseas crowdfunding regulations. It came into force from 16 March 2020.SEC Assistant Secretary-General Jomkwan Kongsakul said “SEC is ready to support the government policy in pro...
ก.ล.ต. ปรับปรุงหลักเกณฑ์ในการติดต่อและการให้บริการแก่ผู้ลงทุนของ ICO portal ในการทำ knowledge test และ suitability test ของผู้ลงทุนโทเคนดิจิทัล ซึ่งมีแนวทางเดียวกับผู้ประกอบธุรกิจด้านหลักทรัพย์และ
Bangkok, March 27, 2012 ? The SEC is seeking public comments on a draft regulation requiring underwriter to develop suitability test for the sale of shares and debt securities. Suitability test will
securities (securities company and commercial bank with securities underwriting license) know individual client before selling client any product through suitability test. The test will be beneficial to
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test