customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration
promote competitiveness of the private sector while maintaining efficiency of investor protection. The speakers at this first session are:1. Ms. Ruenvadee Suwanmongkol SEC Secretary-General 2
prescribed thereunder by SEC Board, CMSB or SEC Office; or (2) Rules that get insignificant revision while maintaining the original essence such as reclassification of subject matter or correcting
://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/SECONDARYMARKET.aspx English (United States) SecondaryMarket . Securities Registrar Provides service in preparing and maintaining the register book of securities
://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/SECONDARYMARKET.aspx English (United States) SecondaryMarket . Securities Registrar Provides service in preparing and maintaining the register book of securities
%20Institutional%20Investor%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or
The Passport is intended to provide significant benefits to investors through more fund choice, while maintaining effective legal and regulatory arrangement for investor protection. It is also
://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 07/09/2022 about its business and operations such as electronic wallets for keeping and maintaining clients' assets
keeping and maintaining clients' assets and details and explanations of transactions in the wallets. In this regard, although Zipmex http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed
who have been engaged in the business before the effective date of the notification to comply with the capital requirements by maintaining the initial capital to no less than 5 million baht within two