act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties or provide
Business License to provide services related to equity instruments and Private Fund Management License. In addition, the amendment would allow intermediaries licensed to undertake private fund management
to securities listing and trading on LiVe Exchange and provide regulatory relaxation regarding listing requirements and listed company status maintenance, giving focus on disclosure of information to
cooperative framework that will provide convenience for asset management companies to offer Thai funds overseas in addition to the ASEAN Collective Investment Schemes (ASEAN CIS) and the Asia Region Funds
days from the completion date of the appraisal and the appraisal review to provide both investors and analysts information to analyze the fund/trust. The disclosure shall be made through appropriate
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
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
investment in all products. ?Improvement of the suitability test will not only provide the business operators and investors with more convenience, but will also better reflect investor demands. The test
will apply to all types of digital asset business operators in order to provide more appropriate protection to investors. Examples of the amended regulations are revising the percentage of digital asset