knowledge and understanding of cryptocurrency. In case of unqualified investors, investment through a licensed digital asset fund manager would be allowed, and (2) Digital asset business operators would be
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
according to the Service Level Agreement; 3) Rectifying the work system for supporting the Business Continuity Plan to cover the case of trading interruption in consistent with the current business
approving in principle the proposed regulations. Later, on 5 March 2021, to promote sustainability of the investment management business, the SEC held a joint meeting with chairpersons and chief executive
asset businesses, including exchange, brokerage and dealing. The legislation also aims to protect investors from risks of fraud and deception by dishonest persons, money laundering and exploitation of
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
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
SPRC disclosed information via the Stock Exchange of Thailand Information System during 21-26 February 2020 regarding the business email compromise that occurred in late 2019, which resulted in
Bangkok, August 16, 2016 ? The SEC is urging the shareholders of Adamas Incorporation Public Company Limited (ADAM) to thoroughly study the proposed share acquisition for business takeover of