on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
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
SEC Secretary-General Ruenvadee Suwanmongkol said “after the royal decree on digital asset businesses, B.E. 2561 came into force since 14 May 2018, it has attracted much interest from the public, particularly new-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs.As such, “SEC finds it necessary to enhance knowledge and understanding concerning related laws and regulations of the target groups via the SEC clinic to give advice on...
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless
approval as securities investment consultant and banned him from re-entering the capital market and performing duties as a branch manager for any business in the industry for 10 years. Since the period of
of beginning business operation instead of the date of approval, as previously required. In addition, SEC has specified that the ICO portals must show that they have efficient IT systems and
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital