Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision

ดูแลบริษัทจัดการและกองทุนรวมนอกจากนี้ CSSF ยินดีให้การสนับสนุนการเสนอขายกองทุนไทยในยุโรปภายใต้กรอบความร่วมมือ Alternative Investment Fund Managers Directive (AIFMD) ซึ่ง ก.ล.ต. ได้เข้าร่วมลงนามในบันทึก

. EUROPEAN COMMISSION PRINCIPLES OF PUBLIC OVERSIGHT DIRECTIVE 2006/43/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL OF 17 MAY 2006 CHAPTER VIII Article 32 Principles of public oversight 1. Member States

Investment Fund Managers Directive (AIFMD) ซึ่งมีผลบังคับใช้ตั้งแต่ วันที่ 22 กรกฎาคม 2556 เพื่อการกำกับดูแลบริษัทจัดการลงทุนที่จัดการหรือเสนอขายกองทุนใด ๆ ซึ่งมิได้เข้าข่ายเป็น UCITS โดยหลักเกณฑ์ดังกล่าวจะส่ง

trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO

supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace

authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's