, products, mutual funds, listed companies, mergers, intermediaries business operators, auditors, financial advisors, various litigations, licensed and registered persons including mutual funds information
are eligible for the program), (2) derivatives clearing house business, and (3) the securities trading center and derivatives trading center businesses. In this regard, the related regulations on
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
Pursuant to the Emergency Decree on Digital Asset Businesses of 2018, digital asset business operators are required to obtain a relevant license from the Minister of Finance. Since 2018, three types
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
August.The proposed rules aim to facilitate securities companies and derivatives business operators in providing their services of expertise based on available resources, and to expand their business
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the
this information service system will act as the information infrastructure for the financial sector and capital market allowing the private sector to use it in business expansion and capital market