institutions have come into spotlight while innovation and technology help entail even more rapid fund flows. As Thai capital market supervisory and development authority, the SEC has played more proactive role
B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business
Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities
and is one of the capital market initiatives undertaken by the ACMF as part of the regional capital market integration plan endorsed by the ASEAN Finance Ministers in April 2009 in Pattaya, Thailand. Mr
) -2- “mutual fund rating”2 means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
In this regard, the SEC reiterates its warning to DA business operators to fulfill their duties in safeguarding clients’ digital assets in accordance with established criteria, with a primary
business operators which may be considered an act of co-principals or accomplices of the offenses.The Securities and Exchange Commission (SEC) has issued a warning about the provision of services that may
uses the account opened for the purpose of trading digital assets as a means of payment for goods and services, the digital asset business operator is required to issue a warning regarding the misuse of
investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response
the civil monetary penalties above, the SEC released a public warning against solicitation for investment in Mandawee Tour on 11 August 2017 around the time when the SEC received the referrals to the