Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to
requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
(SIDREC) จากมาเลเซีย และ Ms. Gabrielle Hart, General Counsel, Securities Exchanges Guarantee Corporation Limited (SEGC) จากออสเตรเลีย ร่วมถ่ายทอดประสบการณ์การจัดตั้งและการดำเนินงานของหน่วยงานต่างประเทศ ณ
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk
, claiming returns from cryptocurrencies, digital tokens or package investment plans in the form of Ponzi scheme. Solicitors may also promise or guarantee attractive returns, luring investors into quick