market regulator, which is accepted by the Office, to perform the duties similar to fund manager. Clause 8. Any person to be approved to be listed in the register of person qualified to be fund manager

Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission.                 Clause 3. This Notification shall not be applied to those financial

management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by the Office; (8) “Office” means the

” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by

/2024: Request for the court to indicate provisional measures. Both cases were accepted by the Court and a hearing for petition on temporary protection was scheduled on May 27, 2024. Furthermore, on

prosecutor’s prosecution, and the court’s adjudication, respectively.  “The DSI has accepted this matter as a special case, and the ECD, which has been working with the SEC since the beginning, has been

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

the six short-to-medium term focus areas identified in the Roadmap for ASEAN Sustainable Capital Markets (“Roadmap”). The meeting also accepted the provision of technical assistance from the Asian

Department accepted on 13 May 2018. Earlier, the Department dismissed IFEC request to have Mr. Theetiphan Thepphadungporn registered as a new director.Having only three directors on the board is insufficient

the period of 10 years starting from 27 September 2023 will not be accepted.