The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to
uncertainty of the funding attained. Meanwhile, the supporting bank is still considering the loan for the company and the capital raised from rights offering depends on the right exercising of the existing
from holding any securities company management positions as well as suspended his capital market investment consultant status for nine month. Considering that he has been subject to a month and thirteen
issuers.Moreover, considering the potential of banks and their subsidiaries to provide selling agent services for ASEAN CIS, the SEC has coordinated with the Bank of Thailand to allow the banks licensed to undertake
for their investment decision while the List can also be of use for securities companies? risk management. Considering that Thai capital market has been developed with significant growth rate over the
, the Court imposed the punishment prescribed for each offence* on him totaling 16-year and 36-month imprisonment and a fine of 3,760,000 baht. Considering the fact of confession, however, the Court
9556, 9935, 9822 or 6076. The criteria for considering whether or not a person operates any of the aforesaid businesses are as follows: (1) In the case of “digital asset investment consultant
operator.SEC is therefore considering excluding a business operator promulgating research analysis in the ten ASEAN countries from applying for investment advisor license provided that significant conditions
areas by considering suggestions from the private sector to make the regulations more appropriate. For example, (1) adding a provision to allow business operators to insure with the insurer that
effective sales and marketing strategies continued from year 2017 including the launching of new products which were got positive feedback from the customers. Besides, the product segment management and the