coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1)  Be independent from the asset management company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and...

, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the

blocked from these platforms immediately to protect the public from further harm and loss.  The Investment Scam Hotline initiative is part of the SEC’s continuing efforts as a participant in the

providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose

of lawsuit filed and prosecuted by the plaintiff who collectively represents a group of people who suffer damage from the same causes and wish to exercise legal right to protect own rights. For more

In this regard, by virtue of Paragraph 1 of Section 35of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), the SEC Board, at the Meeting No. 2/2564 dated 18 January 2021, has passed a resolution requiring Bitkub to submit a rectification plan to the SEC and complete the rectification of the relevant problematic work systems within five days in the following areas:     1)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal s...

The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall