Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that has been
fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that
In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC
urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
or public offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social
offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social enterprise
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
(2016). In the case of Preeya, she assisted or facilitated Woraphant in his wrongdoing under Section 242(1), which was in violation of Section 315, in conjunction with Section 242(1) and subject to the