rectification requirements. Consequently, the SEC Board resolved to propose the revocation of Zipmex’s digital asset exchange and broker licenses for the Minister of Finance’s consideration. The SEC Board also
Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite
consistent with securities regulations. This approach also aims to protect investors in cases where digital asset business operators provide services beyond the scope of their licenses, leading to license
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in digital assets. This initiative aims to facilitate greater investor access to investment tokens in both primary and secondary markets through traditional financial institutions. Such a development will contribute to a more complete investment token ecosystem while increasing investment flexibility an...
On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
business to apply for related licenses without license fee as is the case with the existing rules. In addition, the existing licensees wishing to apply for Type E Securities Business License or Private
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all securities which come with high application fees and do not answer the need of business operators who...
business operation that they are required to apply for the respective licenses with the SEC by 24 February 2021. For more information and inquiries, please contact SEC Help Center at Hotline 1207, press
directors oversees that the company follows the laws and charters in specifying roles and duties of the board of directors, the executives, the audit committee, auditors, internal auditors, and the personnel
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...