Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
Investors SHARE : Detail Content In building investors' confidence, it is impossible for the SEC, to protect investors from all risks or shield them against investment losses. The main objective of the
}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that
=13&NewsYear=2024&Lang=EN- SEC News No. 227/2023: SEC orders Zipmex to rectify its net capital position and act in the best interest of clients, issued on 25 November 2023: https://www.sec.or.th/EN
committing the misconduct. Additionally, the SEC has banned {B} from holding the position of branch manager in charge of capital market business at the bank for two months. Following the complaints from
prohibit such director from holding the position at any listed company. The SEC also proposed amendment to the Public Limited Companies Act B.E. 2535 (1992) to prohibit any company from exempting the
prohibit such director from holding the position at any listed company. The SEC also proposed amendment to the Public Limited Companies Act B.E. 2535 (1992) to prohibit any company from exempting the
the consistency and cybersecurity that is appropriate and sufficient to protect against possible risks from cyber threats. _____________________________
ZipUp+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to
Stock Exchange of Thailand; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private