custodians for private funds and provident funds, and (2) criteria for transferring private and/or provident funds to mutual funds under management of the same asset management company.The consultation paper
companies and waiving the requirement to use the term “securities company” in the company’s title if the company has previously been engaged in other businesses. Additionally, in order to protect investors
Ms. Jittikarn Wongkampoo, Director of Corporate Communication Department, the Securities and Exchange Commission (SEC), engaged in a discussion on “Strengthening Collaboration against Scams for a
who have been engaged in the business before the effective date of the notification to comply with the capital requirements by maintaining the initial capital to no less than 5 million baht within two
Given the changing economic and business environments, listed companies are increasingly engaged in more diverse and complex transactions; however, the current rules may not cover – or in some cases
had misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the
misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the client’s account
making a cash payment and transferring money to a personal account of the serving investment consultant. Investors should make payments via payment channels and methods specified by the service provider
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund