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
businesses and FinTech startups to make the most of financial innovations, but also promote a full-scale digital economy.?The FinTech Draft Act contains four core matters: (1) strengthening the confidence in
reporting period in case of changes to the securities or derivatives holding by extending reporting periods for small-scale transactions with permission to incorporate small-scale transactions into one report
larger scale,” said SEC Secretary-General Pornanong Budsaratragoon. The knowledge-building activities conducted by participating businesses for the Public Empowerment through Capital Market Knowledge
larger scale,” said SEC Secretary-General Pornanong Budsaratragoon. The knowledge-building activities conducted by participating businesses for the Public Empowerment through Capital Market Knowledge