Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of
In November 2022, the SEC published a consultation paper on the proposed amendment to capital requirements for digital asset business operators which includes paid-up and ongoing capital as well as
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
permissible for general mutual funds’ investment, in which the AMCs have the duties to look into the suitability and liquidity of such assets;4. Revising disclosure requirements on the funds’ portfolio holding
fees would not be required. Nevertheless, to be qualified, SMEs and startups must meet specific requirements, such as: 1. File the registration statement to disclose company information
-making. Any entity wishing to operate a digital asset business must obtain an approval from the Minister of Finance and meet the SEC requirements regarding, for example, adequate sources of capital
Finance and meet the SEC requirements regarding, for example, having adequate capital and putting in place measures to appropriately address cybersecurity issues. The approved operator must also conduct
and whose shares are primarily listed on the main market of an exchange in jurisdictions which are signatories to the MOU. Where corporations satisfy the requirements set out in the Framework
complied with requirements in this Notification. Clause 4. Securities company shall not be allowed to provide trading service for units of foreign collective investment scheme except where the following
Clause 4 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed