with the highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on Mr. A, (2) to prohibit Mr. A from securities trading or entering into
highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on {A}, (2) to prohibit {A} from securities trading or entering into derivatives contracts for
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
characteristics, for example, investment units of mutual funds offered for sale to institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid
Bangkok Makkasan, at an amount not exceeding 40 percent of the total paid-up shares, worth not exceeding 421.55 million baht, and the right to claim in the loan of Wealth Ventures at the value not exceeding
Re: Rules in Detail of the Work System and Management of Mutual Funds for Institutional Investors or Ultra-High Net Worth Investors, dated 1 February 2019.** Regulatory Guillotine is the
., investment units of mutual funds for institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid products, and structured notes
the days of the significant errors in the valuation (at least one satang and worth at least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the
investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a