warnings to clients of DA operators* with the following salient features. (1) DA operators shall disclose the risks in relation to the appraisal of their financial status, storage of clients
warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store their
Currently, a significant volume of securities trading on the Stock Exchange of Thailand (SET) involves foreign investors, with most orders executed through foreign securities companies to Thai securities companies. In receiving these orders, Thai securities companies may not have complete information on the clients of the foreign securities companies and their trading behaviors. Therefore, it is essential to establish regulations ensuring that Thai securities companies, under the supervision of...
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
SEC Secretary-General Ruenvadee Suwanmongkol said: “Social impact enterprises are the key foundation for the social and environmental development towards sustainable growth. Nowadays, government agencies have laid out policies to promote and support enterprises whose main objective is to solve social and environmental problems through creativity and innovations. Such enterprises can also generate sustainable returns from their operation, which in turn will be used for further social and environm...
As on February 29, 2024, Thana Power Holding Co. Ltd. (Thana Co. Ltd.), NUSA’s shareholder, arranged the first EGM of Shareholders for 2024 (EGM of Shareholders No.1/2024) according to Section 100 of the Public Limited Company Act B.E. 2535 (1992), the meeting resolved to (1) appoint 3 new directors as follows: Pol.Lt.Gen. Ekaphop Prasitvattanachai, Mr. Chaipat Lertlucktaweekul, and Mr. Burin Nuchniyom, as well as (2) approves to withdraw the current Chairman of the Board of Directors and...
ecosystem to ensure that investors have sufficient knowledge and understanding of the subordinated perpetual bond by (1) revising the risk acknowledgment form for clearer and easier presentation including
raising funds, investor warnings through various trading signals, as well as increasing stringency in the securities delisting, and reviewing rules and procedures for considering backdoor listing and
enables easy and instant access to a wide variety of investment options, including those innovative ones. In addition, publicity of alerts and warnings to raise awareness and educate people about