who may have conflicts of interest,” “major shareholder” and “controlling person” according to the first paragraph (2) shall, mutatis mutandis, have the same meaning as defined in the Notification of
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
simply notifies the SEC of the outsource activities at least 15 days in advance. In case of outsourcing to any other person, business operator is required to seek the SEC approval and outsourcing
Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
non-Thai nationals and omnibus account in other ASEAN countries to non-Thai nationals and omnibus account. Besides, measures against any person or group of persons wrongfully using Thai ASEAN CIS for
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very
Mr. Kavin Phongpandecha Mr. Kavin Phongpandecha, an authorized director of a digital asset broker called Bitazza Company Limited ("Bitazza") and an authorized person to certify the accuracy