issuers, related intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor

Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under

the companies will be able to return the money to the clients whenever they ask for, while the agreement on custody of client assets must not contain any provisions denying or limiting the companies

at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

the Anti-Money Laundering Act (No. 4) B.E. 2556 (2013) and the Counter-Terrorism Financing Act B.E. 2556 (2013).The promulgation of the above Acts demonstrates significant progress in meeting

Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts

property** shall have key responsibilities to collect, dispose, as well as repay debts, distribute money or assets to trust unitholders and deposit money or assets etc. In performing the duties, the

bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription

bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

assets as a tool to back money laundering. Moreover, certain types of digital assets are investment assets that require investors to study and thoroughly understand associated risks. The BOT therefore does