(CSSF), the Luxembourg financial regulator, with whom SEC has been cooperating in exchange of information related to supervision of asset management companies and mutual funds since 2012. Both parties

with a total value of 15 million baht or more* has to store clients’ digital assets with foreign digital asset custodians not subject to Thai law and supervision of the Thai regulator. In addition

Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the

funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on

executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

volume raised from 0.21 to 14.78 million shares. Earlier, the SEC had proceeded with the settlement process where the wrongdoers in UNIQ share price manipulation case were fined over 80.9 million baht

In addition, there will be three director-level switches, namely:  1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management

assessment, however, raised a point of Thai judicial procedure whereby the cases that have reached court conclusion were significantly outnumbered by the SEC?s complaints. (3) Political and Legal Environment

progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in