. The SEC has significantly improved the level of implementation of the IOSCO Principles, with 35 out of the total 37 areas being assessed as fully or broadly implemented. Such results reflect that the

framework with the belief that the business sector being driven by the framework of the guiding principles will be strengthened in the management of operational risk. More importantly, the operations of

Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019

capital market business personnel has lapsed since 31 December 2019 and he is not performing duties at any securities company. SEC has therefore banned Somchai from being personnel in capital market

importance of being adaptive and flexible to new opportunities arising from the change in behaviours of market players in the capital market. The SEC Thailand firmly believes that this MoU will support the

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

were being considered, the seven applicants operated digital asset businesses by virtue of the Transitional Provisions of the Emergency Degree on Digital Asset Businesses B.E. 2561 (2018).??

and/or filing documents being officially submitted to SEC for digital token offering. Therefore, investors are advised to be cautious with such solicitation. For inquiries or tips on suspicious

two previous years. Participants will be incubated with advice in technology and fintech startups from teams of successful and experienced experts, while being educated the related supervision. This

) Maj. Gen. Boonlert Jangnopparat, resulting in the number of directors being below the number required to constitute a quorum of a meeting as required by law. In this regard, the SEC has instructed Mr