controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger and acquisition) during the past three years ; 1.1.3 Specify
unlicensed DA business operators; otherwise, they will not be legally protected and will be at risk of being scammed, as well as facing money laundering risks. The list of licensed business operators is
operators, as they may not be protected by the governing laws and may fall victim to frauds and scams. The list of SEC licensed and approved business operators and personnel can be checked at www.sec.or.th
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
Businesses as well as foreign digital asset business operators because such engagements with unlicensed business operators are not legally protected and may be exposed to the risk of scams,” added Secretary
? demands. This is to ensure that debt securities will continue to be a key product of choice for fund mobilization, while investors are better protected. Assistant Secretary?General Charuphan Intararoong
activities therewith may not be protected by the laws enforced by the SEC. In the case of the Facebook accounts, the SEC has instructed the accounts to end the solicitation on the social media platform. On a
the increase in stock price or index was not a key indicator of the capital market growth, while strong corporate governance (CG) of listed companies was found to be a key factor on well-protected
Hong Kong no longer wishes to offer a Hong Kong covered fund in Thailand, the company shall notify such matter at least three months in advance unless the cessation of the offering is due to a merger or