intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as
of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve
debentures, bills of exchange (B/E) and derivative warrants (DW), allotment to the related persons will be allowed in the similar manner as that to general investors. The revised regulations aim to strike a
/RoyalEnactment/enactment-digitalasset2018.pd... ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ derivatives fund managers being a financial institution regulated by other agencies; “ electronic data” means data
SEC’s website at www.sec.or.th and SEC Check First application. Additionally, the list of individuals or entities not regulated by the SEC is available at the Investor Alert Section on the SEC’s website
of licensed business operators is available at https://www.sec.or.th and the SEC Check First application. Additionally, the names of persons who are not regulated business operators under the SEC’s
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
public and investors are advised to exercise caution when using services from digital asset business operators who are not licensed under Thai law or regulated by the SEC as they will not receive legal