instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
1 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Guidelines on Issuance and Offer for
) - Electrical Grids & Storage ENG THAI (unofficial) - Agriculture ENG THAI (unofficial) Standards / Principles / Guidelines ASEAN https://www.sec.or.th
guidelines in the investment management industry. This initiative seeks to enhance collaboration, benefiting the sustainable and stable growth of the industry. Ms. Nataya Niyamanusorn, Assistant Secretary
clearer, non-overlapping guidelines in line with the evolving capital market ecosystem. The collaboration seeks to ensure a well-regulated, fair, and trustworthy capital market that boosts investor
), led by Mrs. Chavinda Hanratanakool, Chairperson of AIMC, and senior executives from 28 asset management companies. The discussion focused on policy guidelines for developing the investment management
Department. Ms. Jomkwan provided insights and discussed the rules and guidelines for developing and supervising the digital asset market in Thailand, as well as the promotion of fundraising through investment
regulation, fundraising promotion through investment tokens, utilization of data, and human resources development for digital asset businesses. Additionally, both parties collaboratively laid out guidelines