their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital
with the transitional provisions, are allowed to operate their digital asset businesses.Five of them are seeking licenses to operate as digital asset exchanges:(1) Bitcoin Co., Ltd. (BX / website
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
._____________________________Remark:Eight businesses are allowed to operate digital asset businesses according to the transitional provisions (including SEADEX).Six businesses seeking licenses to operate as digital asset exchanges:(1
On 2 March 2023, the SEC Board Meeting No. 5/2566 passed a resolution approving in principle the proposed amendments to the regulations regarding the ICO of investment token, digital asset custodial wallet provider, and other rules related to the digital asset business operations. The main objectives of the proposed amendments were to build an adequate and appropriate investor protection mechanisms in alignment with associated digital asset risks, while continuing to support the use of technolog...
Upon the review of the Securities and Exchange Act, SEC finds that certain provisions of the law do not support the issuance of debt securities under the current economic situations. For example, the