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CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English

https://publish.sec.or.th/nrs/6039se.pdf

SEC Thailand’s Public Hearing on revision to the rules on adding equity intermediary license and private fund management license.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=620

SEC announces new licenses for equity intermediary and private fund management to promote competition and reduce costs of capital market business sector

Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8948

SEC reinforces efforts on intermediary supervision

The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of the key issues include competent personnel, professional code of conduct, effective risk managemen...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6096

SEC public hearing on revision to intermediary reporting rules

Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6480

Public hearing on revision to intermediary IT security regulations

Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and cloud computing to offer services.? The amendment to the governing regulations has taken into consid...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6161

SEC Thailand’s public hearing on revision to intermediary reporting rules

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=560

SEC warns the private sector to beware of the activities that may be considered “unlicensed business undertakings”

management, private fund management, including those business operators under the Emergency Decree on Digital Asset Businesses, e.g., digital asset exchange, digital asset broker, digital asset dealer

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10562

SEC introduces private equity trust

Bangkok, February 25, 2014 ? The SEC Board approved private equity (PE) structured as trust or ?PE trust? to promote PE development, increase more fund raising channels for businesses and encourage

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5290

SEC tightens private placement rules

Bangkok, July 7, 2015 ? The SEC is revising rules on private placement (PP) of newly issued shares to protect existing shareholders and prevent the exploitation of this means for the benefits of any

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6004