personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
Facebook page “Nvesting in the stock market” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 19/07/2024)
wallet provider, and other rules related to the digital asset business operations. The main objectives of the proposed amendments were to build an adequate and appropriate investor protection mechanisms in
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
Australia, Japan, New Zealand and Thailand. As for South Korea, it is in the process of amending the law to support the said issue. In addition, other countries interested in the ARFP project which have
) Enhancing supervision and effective enforcement in the Thai capital market; (7) Ensuring systemic risk management in a timely manner; (8) supporting liquidity enhancement tools for businesses affected
into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client. In so doing, {A} failed to inform the