Cryptocurrency is a financial innovation that is exposed to high volatility. Investment in this digital asset thus requires knowledge and understanding and a risk profile that is not so sensitive to investment loss. The SEC is therefore proposing to specify the qualifications of cryptocurrency investors to ensure proper investor protection mechanism in consistent with the level of risk related to the product. In essence, the public consultation is on the proposed qualifications of cr...
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and...
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the
blocked from these platforms immediately to protect the public from further harm and loss. The Investment Scam Hotline initiative is part of the SEC’s continuing efforts as a participant in the
of lawsuit filed and prosecuted by the plaintiff who collectively represents a group of people who suffer damage from the same causes and wish to exercise legal right to protect own rights. For more
In this regard, by virtue of Paragraph 1 of Section 35of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), the SEC Board, at the Meeting No. 2/2564 dated 18 January 2021, has passed a resolution requiring Bitkub to submit a rectification plan to the SEC and complete the rectification of the relevant problematic work systems within five days in the following areas: 1) Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal s...
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. พร้อมด้วย นางสิริวิภา สุพรรณธเนศ รองเลขาธิการ นายศักรินทร์ ร่วมรังษี รองเลขาธิการ และคณะผู้บริหาร ได้หารือกับ Mr. Fang Xinghai, Vice Chairman of the China
ประชุมหารือกับ Mr. Fang Xinghai, Vice Chairman of the China Securities Regulatory Commission (CSRC) หน่วยงานกำกับดูแลตลาดทุนของสาธารณรัฐประชาชนจีน พร้อมด้วยคณะผู้บริหาร CSRC เพื่อยกระดับความร่วมมือด้าน
Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also