Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022 the SEC disseminated the circular clarifying the guidelines for providing digital asset

those failing to comply with the law may be imposed with legal action.”  On 2 July 2021, the SEC filed a criminal complaint against Binance,* a foreign digital asset business operator, for providing

Bangkok, 25 July 2023 – The Securities and Exchange Commission (SEC) has announced the 2024 holiday schedule for securities companies and derivatives business operators, as follows:   1.  Monday 1

Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite

Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

SPRC disclosed information via the Stock Exchange of Thailand Information System during 21-26 February 2020 regarding the business email compromise that occurred in late 2019, which resulted in

Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business

Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to

SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25