securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
the Framework, the application procedures and the review timeline. The handbook can be accessed here. The ACMF was set up in 2004 to promote freer flow of capital and greater connectivity of ASEAN
times within seven months up until this latest case. Laddawan, Orapin and Napas submitted to the SEC the results of the exam taken by Atcmima for their respective approval as investment consultant. The
and Section 86 of the Penal Code, and liable to the penalties under Section 296 of the SEA, i.e., up to two years? imprisonment or a fine twice the amount of the benefits received or should have
instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is
such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC
business operators wishing to conduct only brokerage business will be allowed to do so with minimum registered paid up capital requirement of 10 million baht. Furthermore, if their businesses are in the form
and experiences among experts to keep up with development of accounting principles having effect on financial information disclosure. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar
-called Know Your Customer (KYC)/ Customer Due Diligence (CDD) rules and to report suspicious transactions. Moreover, in cooperation with securities business operator, the SEC sets up standards and