Commission No. Kor Jor. 39/2564 Re: Determination of Definitions of Institutional Investor, Ultra-High Net Worth Investor and High Net Worth Investor, dated 24 December 2021: https://publish.sec.or.th/nrs
. This amendment approved by the Capital Market Supervisory Board Meeting No. 2/2565 on 15 February 2022 aims to resolve the limitations related to the underwriter’s securities allocation to be in line
on Digital Asset Businesses B.E. 2561 (2018) (Emergency Decree), the SEC Board Meeting No. 5/2564 passed a resolution ordering Huobi to rectify its work systems, but Huobi failed to do so within
SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange
No. 21, six levels higher than No. 27 in the preceding year, and No. 5 within the Asia-Pacific region. Two areas of better performances were (1) Dealing with Construction Permits and (2) Protecting
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
issuers including disclosure of assessment factors; (3) the investment limit is capped at no more than 100,000 baht for each retail investor, equity and debentures combined, up from no more than 50,000
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
limited company or a listed company; (2) the required amount of a registered capital; (3) well-preparedness in work systems, financial status, control and good work practices; (4) no financial troubles
Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj