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
Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1
. The consideration of whether person is guilty or not is thereafter vested on the court of justice. ----------------------------------- Documents SHARE : Related News SEC launches Digital Asset
27 November 2020, “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to
prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. The SEC would like to emphasize that digital asset businesses are regulated under the
on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three investment consultants: revoking approval of Auracha Vachirakulthon as securities
, particularly those influencing stakeholders' trust and confidence towards the Thai capital market. As well, the SEC is dedicated to striking a balance between market regulation and development to ensure that
อย่างยั่งยืน ความเชื่อถือและความเชือ่มัน่ TRUST & CONFIDENCE ต่อตลาดทุนและสมรรถนะของ ก.ล.ต. ทิศทางการก ากับและการพัฒนาตลาดทุนไทย ตลาดทุนมคีวามน่าเชือ่ถือ (Trust and Confidence) ตลาดทุนเป็นแรงขับเคล่ือนส
were thus suspended as securities investment consultant. The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the Notification of the Capital Market Supervisory Board No. Tor Lor
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information