has concern over the impact of flooding on them. At present, providing of services by businesses in the capital market, including clearing and settlement systems remains functioned normally. The SEC
Bangkok, April 9, 2014 ? At the Economic Crime Division of the Royal Thai Police (ECD Police) today, the SEC filed a criminal complaint against unlicensed derivatives and securities business operators and related persons as follows: (1) Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) and Matthew Christensen for operating unlicensed derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien...
., Arya Payungvivattanakul, a managing director of Globalview Consulting Co.,Ltd., Ruangrit Pansiri and Aroonvadee Kittikasemsak for jointly operating unlicensed securities businesses. Following suspicious
Bangkok, October 31, 2012 - The SEC is seeking public comment on regulation on outsourcing in securities and derivatives businesses. The proposed regulation aims to standardize the supervision on
and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager
products. The SEC will provide support to businesses, regardless of size, industry or location, to raise funds through the Thai capital market serving as destination for offer for sale of shares or
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC conducted a public hearing on a proposed amendment to the regulations on custody of clients’ assets....
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1
Pursuant to the amended regulatory sandbox regulations, which will take effect on 16 August 2020, more types of businesses are eligible to participate in a regulatory sandbox, covering all