offered in Thailand This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after the last day of each
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
of the Law which prohibits any directors, managers, or responsible officers of digital asset business operator to obtain any unlawful benefits for themselves or others at the expense of the business
underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
Currently, there are no licensing regulation for digital asset custodial wallet providers in Thailand. Thus, a digital asset business operator who performs safekeeping of clients’ digital assets
investment company or trust certificates of unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any
ติัการดา้นตลาดทุนสู่การเช่ือมโยงตลาด (Implementation Plan 2015) ประกอบกบัการอนุญาตให ้CIS Operator เขา้มาเสนอขาย CIS แก่ผูล้งทุน NRI ไทยน้ีเป็นเร่ืองค่อนขา้งใหม่ของไทย ส านกังานจึงมีแนวคิดท่ีจะเร่ิมเฉพาะ