addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding
regulations, the internationally-accepted standards will be applied to the regulatory impact assessment (RIA) to ensure that problems will be solved effectively and only necessary regulations will be issued. In
documents (in Thai language only) are available at https://capital.sec.or.th/webapp/phs/upload/phs1553660337hearing-15-2562.pdf
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
website beforehand. Currently, only digital asset business operators who have been operating since before 14 May 2018 and apply for licenses within 14 August 2018 are allowed to continue their business
company?s shareholders. ?The SEC promotes holding company with high potential to raise funds through the capital market and list on the Thai bourse, as not only will more attractive listed firms on the
be allowed by the end of this year. Criteria for CIS to be offered will include (i) offer must be made only to institutional investor and high net worth investor with specified investment
made only to institutional investor and high net worth investor with specified investment experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
public prosecutor then filed the case with the Southern Bangkok Criminal Court where only the charge against Kittipat was accepted.The Southern Bangkok Criminal Court today convicted Kittipat for violating