https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC adds “ digital asset investment advisor” and “ digital asset fund manager” as new regulated businesses and amends regulations on supervision
fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen According to the Ministerial Regulation Re: Granting of Approval for
advisor” and “ digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen According to the Ministerial Regulation Re
through its subsidiary company. The SEC’s further investigation found that four persons, namely (1) Pasita, TRC’s executives’ daughter and sister, (2) Rewadee, TRC’s senior accounting manager, (3) Ounruen
, Head of Sustainable Investment – Fixed Income and Senior Portfolio Manager at Nomura Asset Management, who shared his perspectives on promoting transition investment. Also participating in the exchange
branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for
, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or
during 1 April 2016 - 4 May 2016. In so doing, (6) Mrs. Supritha Pai Kasturi, Senior Manager of PTL Finance and Accounting Department, helped to execute the PTL purchase orders before the inside