services liable to be an undertaking of digital asset business in the category of digital asset exchange without license, which is deemed a violation or a failure to comply with Section 26 of the Emergency
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regard, reaching out to the event organizers and urging them to cooperate and cease the participation of
trust auditors with an obligation to prepare and disclose the report on unitholding in REITs and infrastructure trusts in accordance with Section 59 which is the same provision governing the
Representative in ACMF member countries SEC Thailand 5 5 An eligible professional from a Recognised ACMF member country, who wishes to undertake capital market activity as specified in the Handbook on ACMF Pass
the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of
obtain sufficient appropriate audit evidence in relation to investment in Smart Traffic Co., Ltd., an associated company of EIC, impairment loss of investment and share of loss of such associated
Secretary-General said, ?The Capital Market Supervisory Board recently approved the regulations on REIT bond offerings. Expected to become effective soon, the new regulations will provide an alternative