https://www.sec.or.th/EN/Pages/LawandRegulations/MarketProfessionals.aspx English (United States) Personels Operators Registered Persons Investment Consultant Fund Manager Wealth Advice for All A Settlor

adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen investor

director and the manager. Additionally, these appointees will be required to participate in the SEC-recognized corporate governance training. If the authorized director or manager of DA operators has never

:  * Consisting of the laws and regulations concerning the undertaking of mutual fund management business, private fund management business, derivatives fund manager and digital asset fund manager.    ** Companies

. The methods which are consensus between the fund/trust manager and the fund supervisor/or the trustee;(2)   Amending the rule on determining rents by abolishing the requirement on the ratio of fixed

therefore imposed the following sanctions:             (1)  Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15

/2019 on May 10, 2019, therefore, approved this joint project with the SET whereby IAA will be the project manager and qualified securities companies will produce more securities research reports on small

involved with the capital market to ensure protection of the market's best interest, and the SET manager shall be ex officio board member. The directors, except the SET manager, shall hold office for a

for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing

Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of