market by increasing the number of auditors in the capital market and enhance the audit personnel?s capability in response to changes of professional standards and more complex transactions. Under this
management companies.Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to the
management companies. Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to
., Ltd. (ThaiWM / website: thaiwm.com).In addition, SEC is reviewing information of two other digital asset business operators that have applied for operating licenses, in conformity with the
popularity among private sector as tools to raise fund from investors directly whereas the issuers must comply with certain qualification, such as having financial statements prepared in conformity to
and international investors.”AIMC President Mr. Wasin Wanichworanant said “the AIMC is determined to seek for opportunities and channels in developing industries, in conformity with the ever-changing
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a