of the Faculty of Law, Chulalongkorn University said, “In order to raise awareness about human rights, we need to prepare business sectors in capital market to operate businesses with respect on
SEC’s 28th Anniversary Celebrations. We have set up two pantries, one at the front entrance and the other at the back ally of the SEC Building, to provide daily essential items such as rice, dry foods
Zipmex Company Limited During the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Management?), failed to order or act his duty resulting in Asia Wealth Asset Management violation of section 113 of the Securities and Exchange Act B.E. 2535. Asia Wealth Asset Management failed to comply
Mr. Akalarp Yimwilai Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited (“Zipmex”), is responsible for the operation of Zipmex. His order or action, or his failure to order
” seminar’s morning session involved a lecture given by, SEC Deputy Secretary-General Sirivipa Supantanet, to provide knowledge about the capital market which can be accessed by business operators and
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as follows: (1) Implement a policy on fintech application at board or executives level ; (2) ...