Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of m...
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to have alternatives by using the capital market to accumulate wealth in the long run.SEC studied...
According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on 27 November 2020, “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to apply for an applicable license with SEC. In this regard, SEC adopts the regulations on busin...
Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
. We also arranged orientation sessions on good corporate governance for new executives, while a lecture on Corporate Governance, Risk Management and Compliance (GRC) was organized for management. In
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
” underlying “derivatives” “derivatives on organized exchange” derivatives derivatives “discount rate” “FX” (Foreign Exchange) “GMS” (Greater Mekong Subregion) ( ) “group limit” “guarantor rating” “international
financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic https://publish.sec.or.th/nrs/3808pe.doc ประกาศคณะ