Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...

At present, real estate investment trusts (REITs) and infrastructure trusts are asset trusts that only have the legal obligation to prepare and disclose information, but in practice such obligation is performed by trust managers. However, trusts are listed securities on the Stock Exchange of Thailand; SEC therefore requires them to disclose information in the same way as securities issuing companies to give trust investors adequate information. Trust managers will have the duty to prepare...

business providers must also have adequate personnel with the understanding in the basic operating principle, the risks of such an algorithm and the responsibility of using technology and use it to manage

entities allegedly solicited the public to invest or use their services at their booths during a FinTech exhibition at a hotel. In this regard, the SEC coordinated with the venue owner and the event

The BOT and the SEC previously discussed and reviewed the benefits and risks of digital assets and deemed it necessary to regulate and control the use of digital assets as a means of payment for

investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the

plain vanilla instruments. Concurrently, the SEC is proposing to amend the regulations concerning the process for revising the use of proceeds in accordance with the standard terms and conditions** and

asset business operators under the SEC’s supervision wish to participate in the BOT’s Programmable Payment  Sandbox, regarding both the use of digital assets as MOP and the conditions for accepting

Operators without the Characteristics of Supporting the Use of Digital Assets as a Means of Payment for Products and Services (No. 2), dated 29 August 2024: https://publish.sec.or.th/nrs/10351s.pdf