Companies and Derivatives Intermediaries 06/09/2013 01/04/2014 Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of
Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015 Notification of the Office of the Securities and Exchange Commission Sor Thor
Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets
| - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule
it is appropriate to amend the regulations for the Funds investing in digital assets with proper measures for investor protection. The key points of the amendments are as follows: 1. To add
assets, technology should be optimized for innovation as well as investor protection. Promoting high-quality digital asset business operators should be a priority with close collaboration between the
. Concurrently, the SEC continues its emphasis on investor education and protection activities.As for the Deterrence Measures, the SEC has been collaborating with relevant organizations such as the SET, the Thai
characteristics, risks, and usage of each type of utility token. The aim is to provide adequate and appropriate protection for the users without hindering the use of technologies in business and industrial sectors
, call Hotline 1213, the BOT Financial Service User Protection Center; (3) Illicit financial activities liable to be a Ponzi scheme, call Hotline 1359, the BOT Illicit Financial Activities
Protection) มีการเตรียมความพร้อมผู้ที่เกี่ยวข้องในตลาดทุนให้สามารถปฏิบัติตาม พ.ร.บ. คุ้มครองข้อมูลส่วนบุคคล เพื่อให้การรวบรวม จัดเก็บ และการใช้งานข้อมูลส่วนบุคคลเป็นไปอย่างมีประสิทธิภาพและถูกต้องตามมาตรฐาน(7