Bangkok, February 10, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against Global Consultant Co., Ltd. and Neil
reports to the SEC Office with regard to their financial condition, business operation or any other information which may affect the rights and interest of digital asset holders or investment decision
executives with prohibited characteristics, (4) putting in place issuer due diligence and product screening systems, (5) examining issuers? business plans and the source codes of smart contract, (6) conducting
financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
The Securities and Exchange Commission (SEC) has considered it appropriate to designate 5 May 2023 as an additional special holiday for securities companies and derivatives business operators in line
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
operators to deal with Covid-19 situation. All of them confirm the readiness to provide services related to securities trading continuously and have business continuity plans in case of emergency. In
Hong Kong and SEC Thailand and promote the connectivity between the two capital markets to open up business opportunities for market participants and broaden investment choices for investors. With that
cyber threat to ensure that clients’ digital assets under their custody are safe. Essentially, digital asset business operators are required to establish a cybersecurity system in accordance with the
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last