(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2564 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 11). After publication in the Government Gazette, the Notification has become effective from 11 June 2021 onwards without retrospective effect. Essentially, the Notification prescribes...
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
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
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...
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
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