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
?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to
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
overseas products seller and issuer.Mr. Pariya Techamuanvivit Director, Corporate Affairs Department said that the objectives of the rule-amendment are to clarify business criteria and broaden scope of
because 77% of total share price had already been paid to the prospective seller, the proportion of which was relatively high comparing to the condition generally prescribed in sale contract. Due to its