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
เนื่องจาก ก.ล.ต. ได้รับการสอบถามจากผู้ลงทุนจำนวนหลายรายซึ่งมีข้อสงสัยหรือถูกชักชวนให้ลงทุนกับ FX Trading Corporation โดยพบการเผยแพร่การประชาสัมพันธ์ผ่านสื่อสังคมออนไลน์ Facebook ในลักษณะที่อาจ
such information publicly and promptly because financial statements are material information for investors and shareholders to make well-informed investment decisions and monitor company operation.?
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
and innovation to enhance developmental efficiency, supervision and investor protection appropriately in all aspects. Regarding digital assets, SEC must closely monitor and supervise digital asset
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
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