In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf. 

former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders.  Following a report from Bualuang Securities PLC., the SEC further probed into the case

Audit Firm’s record - Normal

Applicant’s personal record and audit firm’s record – fast track

the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory

safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by

of the Securities and Exchange Commission. Clause 2 At least two fifths of the total number of directors of a derivatives exchange shall be persons capable of performing the duty to safeguard the

 investment readiness, enhance the understanding of investment products, enable access to investment opportunities to achieve financial goals, and safeguard against scams that exploit emerging technologies, all