SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
and found noise trading risks in trading of securities on the SET. The finding suggested that non-fundamental factors highly influenced the SET Index; trading volumes, for instance. Whilst, the market
Suppiroj, Director of SEC’s FinTech Department acted as the moderator.Based on the panel discussion, there are the following issues. “Libra” is regarded as a challenge to the world and may become a key
from ICO regulation. Also, providers who service trading utility tokens with similar rights including coins in games or points to redeem for products or services are not regarded as operating digital
who obtained an SEC approval to become ICO portals and for digital token sale. Therefore, those who make infringement will be regarded as breaking the laws with criminal and civil penalties
Cambodia to issue cross-border securities offerings, through secondary listing or dual listing, which will benefit the businesses that are highly interconnected in the real sector. SEC Thailand and SECC also
According to public referrals, certain people are suspicious of, or solicited by, Tradenance Incorporation Limited. Its advertising materials published via websites and Facebook claim that highly
Public Not Being Regarded as Engagement in the Securities Business in the Category of Investment Advisory Service (No. 6) dated 1 December 2023: https://publish.sec.or.th/nrs/9991s.pdf; 2. The
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
Term fund is highly popular among investors, asset management companies and commercial banks. As of the end of Q1/2019, the total net asset value was approximately 770,000 million baht and 96