and understanding of business operation. The SEC took such suggestions into consideration in revising the proposed principles to enhance suitability. The SEC, therefore, issued two relevant

caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.   The SEC has been monitoring and observing events or exhibitions

unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.The SEC has been monitoring and observing events or exhibitions involving booth setups related

Kong and Thai capital market participants and expand the business opportunities for the cross-border offerings of funds under the HK-TH MRF, following the Memorandum of Understanding between the

therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide

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