According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a

Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order to evaluate their portfolio investments and transactions. The proposed revision will also resu...

operating the digital asset dealer business under Section 3 of the Emergency Decree on Digital Asset Businesses without license in violation of Section 26 and subject to the penalties under Section 66 of the

, the aforementioned services constituted transactions conducted outside the digital asset exchange.Such services shall be deemed to be the operation of a digital asset dealer business under Section 3

Division of the Royal Thai Police (ECD) for jointly operating the digital asset dealer business without license in violation of Section 26 and subject to the penalties under Section 66 of the Emergency

digital asset dealer business under Section 3 of the Emergency Decree. However, Exmix carried out such activities without obtaining the required licenses, thereby violating Section 26 and being subject to

Determination of Undertaking not Deemed as a Derivatives Dealer