in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
companies to give trust investors adequate information. Trust managers will have the duty to prepare and disclose information relating to financial position and operating performance of the trusts. If they
complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
underlyings. The key areas of revision are: (1) more detailed disclosure of the criteria for DW price setting to give investors sufficient information for decision making, and (2) permission for foreign stocks
’ lifestyles.The public and stakeholders are cordially invited to visit the new www.sec.or.th and give a feedback on the web contents at the end of each page to the SEC for further improvement of web user
provide more investment flexibility for business sectors and comply with international regulations by allowing REIT to give a similar kind of financial support to its subsidiaries as listed companies do to
investment in VC and PE Trust. The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=826 . Stakeholders and interested parties are welcome to give comments and