violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Certified Companies of Thailand's Private Sector Collective Action Coalition Against Corruption LH Financial Group Public Company Limited, Land and Houses Bank Public Company Limited and Land and Houses Fund
Thailand's Private Sector Collective Action Coalition Against Corruption LH Financial Group Public Company Limited, Land and Houses Bank Public Company Limited and Land and Houses Fund Management Company
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider
)Direct firms become more tied and sensitive to Bitcoin. Implications Stock market: more regulated and protected Crypto market: scams and frauds The stock market offers a somewhat safer opportunity to
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market
January 2016. Clause 4 In case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of
institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has already had independent director in accordance with
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures