Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
Exchange Commission No. Sor Nor. 29/2566 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, and Mutual Funds for Institutional Investors (No. 7
business operations in accordance with relevant rules, conditions and procedures. Therefore, pursuant to Paragraph 1 of Section 35 of the Emergency Decree, the SEC Board at a meeting on 11 January 2024
the rules for real-estate backed tokens and infra-backed tokens, as well as enhancing the guidelines for sustainability-themed tokens. These improvements aim to accommodate a diverse range of initial
, the SEC has issued a set of rules involving methods and reasons for seeking votes from token holders, the determination of votes, and the organization of token holder meetings, etc. The regulations are
Broker), and (2) Securities companies will be exempt from the requirement to obtain a digital asset business license related to G-Tokens, whereby such companies shall be regulated under the rules governing
areas to prevent conflicts of interest. Additionally, DA operators will be required to establish internal rules or procedures for customer asset safekeeping. In this regard, the current DA operators
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014.
SEC supervisory framework focuses on their capability to maintain qualifications in accordance with the governing rules as well as their knowledge on investment and regulations related to investor