any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the
for investor protection. In this regard, the SEC Office may prescribe conditions with which the Thai government agencies shall comply. Clause 10 In cases where additional facts appear to the SEC Office
appropriateness and adequacy of the information to support investment decision making and the measures for investor protection. In this regard, the SEC Office may prescribe conditions with which the applicant shall
approval due to the financial advisor’s failure to meet the requirements under Clause 5(3), (4) (a), (b) or (c) or (5) (a) or (c), the SEC Office may prescribe a period or conditions for accepting a
) Digital tokens for fundraising related to sustainability, which the SEC will further specify related regulations.
compliance or exploit investors ? and integrity of directors and executives who must not have any prohibited characteristics.? The proposed rules also specify the qualifications of ICO portals whose roles are
below the market price to be consistent with the aforesaid principles, which specify that “a share offering at a price lower than the market price” means a share offering at a price lower than any of the
Exchange Commission the power to issue and revoke securities business licenses as well as the power to approve additional types of securities businesses and specify paid-up registered capital thereof. These
Establishment of Risk Management System for Business Continuity of Intermediaries dated 21 October 2016 (“ Notification No. SorThor/Nor. 45/2559 ”) which specify on the rules for operation systems capable to