Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
considered it appropriate to designate 12 April 2024 as an additional special holiday for securities companies and derivatives business operators. This decision aligns with the Cabinet’s resolution and the
The Securities and Exchange Commission (SEC) has considered it is appropriate to change the substitution holiday for New Year’s Day from 2 January 2024 to 29 December 2023, and to confirm that 30
novel Coronavirus (COVID-19) in the country, SEC has considered appropriate to revise the holidays of securities companies and derivatives business operators and, therefore, announced the cancellation
deems it is appropriate to announce that 16-18 November 2022 remain normal working days for capital market intermediaries. However, to facilitate the APEC meetings in terms of traffic and
procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
it is appropriate to amend the regulations for the Funds investing in digital assets with proper measures for investor protection. The key points of the amendments are as follows: 1. To add