business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
14th Money Expo Chiang Mai 2019 at the Chiang Mai Hall, Central Plaza Chiang Mai Airport. SEC was with the responsibility to provide basic knowledge on the capital market and digital assets, to
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
SEC Secretary-General Rapee Sucharitakul said “SEC aims to provide people in general access to the capital market as a source to accumulate long-term financial stability. However, until now
considered that the transactions entailed the best interest for clients and failed to provide measures for preventing conflict of interests. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide a structure for managing, the work system including
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC