advised to be cautious about using services of unlicensed operators of securities, derivatives and digital asset businesses, including those from foreign countries, as they are not under the SEC’s

investment tokens and other types of digital assets, with regulatory oversight under the securities regulations (a public consultation will be conducted on draft regulations for digital asset investments of

cyber threat to ensure that clients’ digital assets under their custody are safe. Essentially, digital asset business operators are required to establish a cybersecurity system in accordance with the

The SEC has recently issued a rule revising the definitions of institutional investor, ultra-high net worth investor and high net worth investor* used for investment in financial products under

supervision would expand to cover additional entity types under the SEC regulations; (2) Define clear roles, responsibilities and involvement of the board of directors, including the governance body, to ensure

, effective from 20 May 2020. In addition, the affected investors have filed complaints with the inquiry official for a criminal action against Napasook. The case is under consideration in accordance with

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

The seminar was graced by the presence of the Deputy Secretary-General to the Prime Minister for Political Affairs Kobsak Pootrakool, whose lectured under the topic of “How Thai Capital Market

other affiliates under the same group of such companies are no longer required to meet these qualifications and disclosure requirement. 2.     The combined size of the affiliates and associated

Section 90 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) which states that no person shall undertake securities business without license. Violator of Section 90 is subject to penalties under