branches have functioned as selling point of financial products including mutual funds and a network of channels for knowledge dissemination where most of investors make their investment decision. TBA is
management to general public. Their activities involved advertisement, general solicitation and distribution through website www.sdc.us.com.The SEC?s probe revealed that Seandar Inc. and Matthew operated
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation
, there is one licensed derivatives exchange operator, namely Thailand Futures Exchange Public Company Limited (“TFEX”), which has operated since 2006. SEC has begun collecting fee from TFEX since 2011
oversight of alternative investment fund managers who have operated cross-border businesses in partner countries. Currently, two funds have been established and offered by Thai fund management companies
Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop
obligation is performed by trust managers. However, trusts are listed securities on the Stock Exchange of Thailand; SEC therefore requires them to disclose information in the same way as securities issuing
Fund Management License instead to be more in line with the actual operated business may use the remaining paid fee as a discount for the new license fee. The consultation paper is available at https
fund investing in an MRF-eligible Thai or Hong Kong master fund and to clarify how they may be operated in a streamlined manner.“This new cooperation framework signifies a major expansion of our MRF