The Securities and Exchange Commission (SEC), the Economic Crime Suppression Division of the Royal Thai Police (ECD) and the Thai Digital Asset Operators Trade Association (TDO) jointly organized a workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan Kongsakul, SEC Deputy Secretary-General, gave welcoming remarks and presided over the opening c...
decision making from debenture issuers? share price movement can, therefore, provide the issuers with information to select proper fundraising tools. For investor decision making, they may also make use of
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
the ZipUp+ program, while the SEC was collecting and examining facts related to the business operation of Zipmex. Following the collection and examination of the facts aforementioned, the Competent
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
through close coordination and collaborative mechanisms. Such cooperation aims to enhance the effectiveness of tracking fund flows and examining complex behavioral patterns.At the same time, the SEC has
objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the plan for establishment of the
which is suitable for their objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the
For the period of nine months Movement for the third quarter Movement for the period of nine months 2020 2019 2020 2019 Increase (decrease) % Increase (decrease) % Producer and distributor of ready-to