for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
Vorapol Socatiyanurak said that ?Business operators in the capital market have duties under the Anti-Money Laundering Act and the Counter-Terrorism Financing Act. They must therefore have in place sound and
more transparent and reliable.?The SEC has been a member of IFIAR since September 2010. To be accepted as an IFIAR member, an audit oversight authority must demonstrate its independence from audit
IPO approval from the SEC. Vorapol Socatiyanurak, SEC Secretary-General said that for Thailand to strive forward and compete internationally, development must be driven nationwide. The SEC thus
ASEAN capital markets.? The foreign CRAs allowed to provide voluntary rating, though not required to obtain the investment advisory license, must meet the following criteria: -?operating credit rating
close down without providing advanced notification to the SEC. The companies, however, must provide service channels for their customers, i.e., submission of trading orders through its headquarters. (2
activities of digital asset business operators, emphasizing compliance with regulations for offering services related to digital assets and sale promotional activities. Business operators must not engage in or
complaint must not exceed 27,175.50 Baht according to the request of the claimant. Moreover, the court ordered Mr. Thanawat to reimburse the execution cost and 6,000 Baht of attorney fee to the claimant.
., the difference between the Offer Price and the original cost which the Offeree has paid for the tendered securities. The Offeree must declare the original cost of such tendered securities to the Tender