– 8 February 2022), which resulted in the issuance of regulations governing the provision of services of digital asset business operators. Essentially, the regulations contain the following provisions
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is
, who had commanded or acted in such a way that resulted in the aforesaid violation by their respective companies, were subject to the penalties under Section 300 of the SEA.Three of all offenders, namely
imposed a civil monetary penalty of 500,000 baht on the company. Prasit, who commanded or acted in such a way that resulted in the aforesaid violation by Mandawee Tour, contravened Section 300 in
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
resulted from trading orders for investment units listed on SET, in nature, is indifferent from that of the securities company that submits share trading orders. However, the said requirement will not apply
derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien, and Teh Cheng Huat for operating unlicensed securities business.The compliant resulted from several reports
Chantanayingyong, SEC Deputy Secretary-General said that ?Previously, expected timing of the SEC approval for securities offering or fund establishment as well as projected profits of listed companies resulted from
to learn more about investment unit selling operation.Vorapol Socatiyanurak, SEC Secretary-General, said that the exchange of Letters for Cooperation resulted from continual collaboration between the
environment resulted from freer flow of capital and ever more connected capital markets and economies.??In the past years, the SEC has put a lot of efforts to uplift professional standards and audit quality in