, with the requirement that during the first two years, the records must be stored in a format that is readily accessible for the SEC’s review or inspection. The Notification concerning the amendments has
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
limit. Share issuers must disclose such information sufficiently and publicly. As to more complicated corporate governance aspects and information that is less accessible and difficult for investors to
it applies for the license. In addition, the applicant must operate the business in a way that promotes, supports, or is related to services of securities business. It must also have network accessible
cross‑border investment within ASEAN more accessible, efficient, and liquid; and (2) Digital Working Group, covering the formulation of guidelines for tokenized investment products, the promotion of the
Following a referral from the Stock Exchange of Thailand (SET) in December 2021 and the SEC’s further investigation, it was found that the two offenders, namely (1) Mr. Suthee Siripornpitak, and (2
Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the findings and evidence led to the belief that Mr. Saravoot Somwattana (a person with
Based on a referral and the SEC’s further investigation, it was found that on 15 October 2021 OKX provided services for a digital asset trading system, facilitating the trading and exchange of