investment consultant for complex instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex
compensation of the benefits received from the offenses and the highest civil penalty as allowed by law. Due to the civil sanction imposed by the Civil Sanction Committee, the four offenders are liable to
sale of newly issued securities to the public (IPO) whereby issuing companies and listed companies would not be allowed to operate business as an investment company to prevent the misuse of the IPO
take precaution to ensure that only the SEC approved investment consultants are allowed to give advice to the investors. Their compliance with the relevant rules must also be completely fulfilled; for
under (1); (3) in announcing the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual fund, the management company shall be allowed
obtained relevant https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9157 SEC unveils digital asset business operators allowed to continue business operations in line with transitional provisions In
://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9157 SEC unveils digital asset business operators allowed to continue business operations in line with transitional provisions In pursuant to the Royal Decree on
Businesses. Only providers who have obtained relevant https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9157 SEC unveils digital asset business operators allowed to continue business operations in line