or securities depositories by granting an exemption for cases which do not require approval of the Capital Market Supervisory Board, for example, amendment to the rules and regulations in compliance
by the SEC . The proposed rules also require that all digital asset business operators have an adequate source of fund, cybersecurity and IT risk management, Know-Your-Customer and Customer-Due
remained in many aspects. The findings demonstrated that firm leaders should strictly require their staff concentrate on the implementation of the quality control policies effectively and consistently across
companies and limited companies to raise fund through crowdfunding portals approved by the SEC. The crowdfunding portals will screen the companies intending to raise fund through their facilities; require
exceed 50 persons and the total offering value must be less than THB 10 million within any 12 month period. Such offerings would not require prior approval from the SEC and would be exempt from the
legislation, the SEC shall require the business operator to examine the shareholding structure only at the entity level, since these entities are already subject to government supervision and oversight.The
derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
derivatives broker’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
contingent liabilities which require payment by cash or other assets from the securities company upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office