%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...
SEC’s procedures for handling reports of investment scams from the public and capital market stakeholders. From November 2023 to September 2024, an average of 381 cases were reported monthly. The SEC
.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that
offering (PO) and private placement (PP); removing a minimum 10 million baht of face value in all cases and a minimum redemption value of 80% of principal in case of PP. The revised regulations to become
Center (PCT). The meeting discussed the operational approaches of the Anti‑Cyber Scam Center in addressing mule accounts, including cases involving the use of securities companies to channel or transfer
country's economic growth.“As an inquiry official in high-impact cases, the SEC would have the authority to conduct investigations and, upon completing the case file, would submit the case along with our
the determination of collateral redemption value and introducing additional conditions for cases where the bond issuer exercises the right to redeem or request the return of collateralized and/or