customer’s decision-making and providing appropriate information; and 5) charge of service fees, which, regardless of how they are determined, must be informed to the customer prior to the service
employees will have money to spend after they retire from work and as security for their families to enhance their quality of life; 2. supply side -- to create awareness of small and medium-sized
under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went
: (1) Amending the regulations so that they are up-to-date, more flexible and more principle-based, for example, improving information disclosure channels by allowing asset management companies to
the matter carefully and exercise the voting right to protect own interest. They should also request NBC’s executives to clarify and answer questions in order to gather comprehensive information
SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a
funds with constant NAV and exempting business operators from performing the customer risk profile evaluation if the only investment product they offer is low-risk money-market fund. The
submission.Currently, some digital asset brokers, dealers and exchanges have already obtained their respective licenses while others are in the application process. They each deploy different data types and structures
exempted from the securities business license in the category of private fund management and the derivatives business license in the category of derivatives fund management because they are incidental to
-osoth, (2) Ms. Poramaporn Prasarttong-osoth, and (3) Mrs. Narumon Chainaknan. The offenders were subject to pay civil penalties at the total amount of 499.45 million baht. In addition, they will be banned