requirements and IT risk management system. In addition, the proposed amendments streamline licensing procedures in consistent with other securities businesses. The consultation paper is available in Thai
person. In this regard, the business operator must consider the qualifications of the applicant in line with the governing regulations prior to submitting the application via SEC’s auto approval system
when in fact GGC received only partial or no delivery of the raw materials. Nevertheless, it was recorded in the company’s accounting system that the raw materials were fully delivered. In addition
counterparties or providing the system or facilitating entry into an agreement or match the order for persons who wish to trade or exchange digital assets. In so doing, {X1} has solicited the Thai public and
reduction of annual fee for both appraisal company and lead appraiser; (3) Allowing the application for approval to be filed via electronic system (online), consolidating the current
the business operators have in place the system and measures to prevent such incidents from happening again. The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID
program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to
).Moreover, SEC is considering allowing asset management companies to organize meetings via electronic platforms, provided that there is a proper control system to ensure IT security for online meetings
will help the participants to gain benefits and have more opportunities to present useful innovations for the country’s financial system and capital markets. SEC will also exchange knowledge and ideas
be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has