with the highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on Mr. A, (2) to prohibit Mr. A from securities trading or entering into
Earlier, the Civil Sanction Committee resolved to impose civil sanctions on {A} for obstructing and not cooperating with other IFEC directors to set up board of directors meetings and a
Bangkok, July 14, 2014 ? The SEC is seeking public comment on the draft regulations to be issued under Section 315/1 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) on payment of bounty and
Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions to the rules concerning definition of investors and investment of mutual funds in line with international standards
hold a seminar to impulse board of director and top executives of securities and asset management companies to realize the importance of joining Collective Action Coalition (CAC). So far, four securities
During April – May 2023, the SEC conducted a public hearing to seek comments and suggestions on the proposal to amend the regulations governing the optional systems of digital asset business
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees. In proposing the rule changes, the SEC took into
Bangkok, April 16, 2014 ? The SEC is seeking public comment on easing rules on derivatives investment of accredited investor funds (AI funds), where all unitholders are institutional investors or
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under