limitations, risks and conditions different from the 3 provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make
user-friendliness and search tools on their websites. (4) Accounting and Auditing: Thailand faired significantly well in this area thanks to the SEC?s strict supervision on audit quality assurance on
ตลำดทุนทงัหมดและสร้ำงสภำพแวดลอ้ม ดิจิทลั ( digital ecosystem) การจดัให้มี https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/RIA-TRUST.pdf PowerPoint Presentation . Supervision of Mutual
order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those https://www.sec.or.th/EN
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
of the supervision and monitoring of the activities and businesses relating to digital assets and the transparency of such activities and https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
supervision, please visit the SEC website at www.sec.or.th or use SEC Check First application. Also, the list of business operators not under th SEC’s supervision is available on Investor Alert Page via this