, revising the conditions for obtaining a license to allow applicants to choose whether to engage in mutual fund or private fund management, thus avoiding the burden of setting up systems for services they do
responsible business behavior and climate accountability. All stakeholders in the capital market, both listed companies and financial intermediaries such as securities companies and asset management
services to investors continuously and clients’ digital assets are securely safeguarded. The SEC requires that digital asset business operators have efficient risk management and be equipped to tackle
brokerage, (b) derivatives dealing, (c) derivatives advisory service, and (d) derivatives fund management.** Due to the revocation of its derivatives business license, the company has changed the name to be
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
market business personnel in the categories of investment consultant, investment planner, investment analyst, agricultural commodity trading management official, fund manager and derivatives investment
Bangkok, 14 January 2019 ? The SEC announced that the Ministry of Finance, under the recommendation of the SEC Board, had denied a digital asset business licence for Coin Asset Co., Ltd.Earlier
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations
reports to the SEC Office with regard to their financial condition, business operation or any other information which may affect the rights and interest of digital asset holders or investment decision