Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will result in their https
%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...
SEC’s procedures for handling reports of investment scams from the public and capital market stakeholders. From November 2023 to September 2024, an average of 381 cases were reported monthly. The SEC
offering (PO) and private placement (PP); removing a minimum 10 million baht of face value in all cases and a minimum redemption value of 80% of principal in case of PP. The revised regulations to become
Center (PCT). The meeting discussed the operational approaches of the Anti‑Cyber Scam Center in addressing mule accounts, including cases involving the use of securities companies to channel or transfer
Earlier, the SEC conducted a public hearing on proposed principles and draft amendments to the regulations for submission of granular data related to clients' assets and transactions of business
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings