personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider
made-up investment project. In so doing, Panita replaced the names of the depositors with those of several other clients who were related to herself and used the money to trade securities via the trading
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly
securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social
companies and their affiliates, both in the Stock Exchange of Thailand (SET) and the Market for Alternative Investment (MAI) Ms. Ruenvadee Suwanmongkol, SEC Secretary-General said, “One of the SEC’s key