exempted from the securities business license in the category of private fund management and the derivatives business license in the category of derivatives fund management because they are incidental to

investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the

Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital

securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required

Clause 4 to ing No. 6/201 ers No. 2/20 Newly Issued d (the “Comp ectors’ Meetin of Shareholde the existing r ary shares of t ht 1.00 per s o be in accord ector and/or a d to have th Business Deve der in

receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management

Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system

or act his duty resulting in SKFM violation of section 117, section 133 paragraph 2 and section 136 of the Securities and Exchange Act B.E. 2535. SKFM failed to comply with the rules, conditions