. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and
Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the
Bangkok, March 21, 2016 ? The SEC has ordered Chewathai Public Company Limited (CHEWA) and its financial advisor RHB Securities (Thailand) Public Company Limited to clarify their disclosure, via
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
each, and Saliga paid 2.83 million baht. The money received from all civil penalties will be submitted to the Ministry of Finance as public revenue. _________________
’ list and then may exercise the right to appeal such DBD’s decision.According to Section 42 of the Administrative Procedure Act B.E. 2539 (1996), an administrative order shall be effective since the
regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of
Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which has become
private fund from being seized by legal process if asset management companies are in debt, SEC has proposed to revise the related regulations in order that the investors’s assets could be protected if