Bangkok, February 10, 2006 ? The SEC has put an investor contact in functioning as investment advisor on probation for providing investment advice on a website based on rumors and unverified news
Bangkok, July 12, 2006 ? The SEC has uncovered unlicensed asset management services via the web board of www.dsm-stockpile.com , which stopped such services and informed the clients to refund their investments thereafter. Such investment management services are deemed an undertaking of securities business without license and may contravene Section 90 of the Securities and Exchange Act B.E. 2535 (SEC Act). This is a case of a person using his own investment theory to solicit investors...
investment based on their risk tolerance levels. The proposed measures include: 1. Arranging for an easy-to-understand risk ranking, from 1 to 8 in ascending order, to label each mutual fund; 2. Requiring
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without benefits related to any financial product sellers. Such advice must be made online via website or elect...
a 3-month maturity term.So far, the testing results of the blockchain based bond offering system under the regulatory sandbox project have not detected any technological issues or obstacles that
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดสัมมนา หัวข้อ “Blockchain Based Business Model Change” ให้ผู้ประกอบธุรกิจตัวกลางในตลาดทุนไทยทุกประเภท และหน่วยงานที่เกี่ยวข้องทราบถึง
การ (principle-based) เพื่อให้มีความยืดหยุ่น และเหมาะสมกับสภาพแวดล้อมของการประกอบธุรกิจกองทุนรวมในปัจจุบัน โดยประกาศปรับปรุงในสาระสำคัญ เช่น (1) ยกเลิกการกำหนดให้มีผู้จัดการกองทุนอย่างน้อย 2 คน โดยให้
aims to facilitate private sector?s issuance of new financial products in response to market needs. Under the proposal, the principle-based set of rules enabling a more flexible coverage of various
Listed companies may postpone the AGM holding based on their discretion; however, a written clarification of the reason for the postponement must be submitted to the registrar on a case-by-case