Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

sufficiently support capital market growth. Essentially, the amendments will (1) lower the requirement regarding audit experience from a minimum of ten years to 7 years; (2) lessen the requirement on a

which was a mutual fund from New Zealand has now been submitted.Furthermore, the meeting also reached an agreement on further implementing the project that focus on making the ARFP project more widely

of unlicensed digital asset exchange is liable to an imprisonment term from two to five years, and a fine from 200,000 to 500,000 baht and a daily fine not exceeding 10,000 baht throughout the

issuers from both Cambodia and Thailand to make an offer or to list their equity securities outside the issuer’s home jurisdiction. The cross-border equity offering will help expand the issuers

Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019

appraisers for transactions in capital market in the following manners:                   (1)  Extending the approval period from 2 to 5 years. The lead appraiser, however, is still required to take

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses

importance of being adaptive and flexible to new opportunities arising from the change in behaviours of market players in the capital market. The SEC Thailand firmly believes that this MoU will support the