advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
Chairman and Executive Chairman of the Friends in Need (of “PA”) Volunteers Foundation, the Thai Red Cross Society, and foundation executives. On this occasion, the SEC made a charitable donation of 320,000
Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange Commission (SEC), received the Royal Commemorative Pin of the Friends in Need (of “PA
Earlier on 1 July 2021, the SEC Board Meeting No. 13/2564 passed a resolution approving a review on the digital asset business regulations to specify digital asset custodial wallet provider as a digital asset business that would be required to apply for a license. The SEC later conducted a public hearing on a proposal to revise the regulations in this matter to ensure safe and standardized digital asset custody. The proposal also aimed to determine requirements for digital asset business operato...
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public in the possible event of service discontinuance or financial problems that may occur on a continuous or concurrent basis among service providers as has recently been the case for foreign counterparts. In addition, the draft regulation is expected to further clarify the scope of supervision of digita...
entitlement evidence of investment units shall also be provided; (2) provision that if the unitholders need the investment unit certificate, the management company shall prepare and deliver such investment unit
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency