The SEC, at the meeting No. 11/2022 on 15 August 2023, resolved to approve the principles for revising the net capital rules* specifically on the use of subordinated liabilities in maintaining net
collaboration, leading to the arrest and legal action against the individual. Consequently, the asset attachment under Section 267 has been extended until the court orders otherwise. The public can rest assured
always exercised its duties and authority strictly, covering both criminal proceedings and civil sanctions. The public can rest assured that the SEC exercises utmost discretion to enforce the law strictly
The SEC has provided guidelines for promoting the growth of digital asset custodial wallet providers (DA custodians) by supporting them in maintaining appropriate costs. This initiative aims to
://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/SECONDARYMARKET.aspx English (United States) SecondaryMarket . Securities Registrar Provides service in preparing and maintaining the register book of securities
%20Institutional%20Investor%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or
requirements to cover both generic user accounts and high-privileged user accounts, and requiring business operators to manage IT incidents by conducting root cause analysis, maintaining incident records, and
customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration
adhere to the SEC's anti-corruption policy. The SEC is committed to fostering and maintaining as an organization with good governance, high standards and ethics in line with international standards. This