Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Mutual Fund Cross-border Offering of Funds Business Operators
when using services of unlicensed digital asset business operators; otherwise, they will not be legally protected and will be at risk of being scammed, as well as facing money laundering risks. The list
Currently, the regulations related to provision on Repo grant an exemption or prescribe flexible conditions for business operators that provide services or engage in transactions with institutional
enactment of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), which requires that digital token issuers and digital asset business operators shall obtain approval and/or proper licenses
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of
served.*Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
, effective from January 15, 2015.*Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
, the SEC has overseen business operators and maintained the current annual fee rates for a certain period of time. Therefore, the SEC has proposed revising the fee collection criteria to align with
The SEC has issued guidelines requiring business operators to implement enhanced processes from the account opening stage, including the identification of the Ultimate Beneficial Owner (UBO