Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
SEC issues a notification of the capital market supervisory board revising rules regarding the establishment of audit committee of securities companies by requiring a securities company keeping its
break the rules or fail to perform such duty, they will be held legally liable.Moreover, information concerning unitholding or change of unitholding by directors and executives of trust managers and
amend its rules to be more flexible without too high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of
amend its rules to be more flexible without high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of fixed
Bangkok, 17 January 2023 – The Securities and Exchange Commission (SEC) has issued regulations requiring digital asset business operators that provide custody of clients’ digital assets to establish a digital wallet management system to accommodate efficient custody of digital assets and keys* and ensure safety of clients’ assets. The regulations cover the following requirements: (1) Policy and guidelines for overseeing risk management and management of digital wallets and keys as well as co...
On 10 November 2022, the SEC Board Meeting No. 15/2565 passed a resolution approving the SEC’s proposal for amending the regulations related to quota allocation for foreign exchange transactions of digital asset business operators. Essentially, the proposed amendment would allow digital asset fund managers to apply for a quota to execute foreign exchange transactions with financial institutions in Thailand regarding purchases of digital assets overseas and payments for related expenses. The inte...