/advertising information / services provided by the company, for instance: Solicitation to buy stocks/derivatives/mutual fund Portfolio information Email, address, telephone number, a certified copy of Thai
company listed on the Stock Exchange of Thailand. Samples of matters under the SEC responsibility ● Approved securities / derivatives intermediaries / persons. For example: Malfunctioning of working
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on the approval for the offer for sale of debt securities in a public offering (PO) or the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved
For the case of securities company operating securities and / or derivatives business and not having any of the following : ( 1 ) hold client assets ( 2 ) engage in proprietary investments or ( 3
chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor and deter money laundering. ICO issuers must be a company established under Thai law, with
proper licenses to alleviate the risk of frauds. Moreover, it is advisable to be cautious when being solicited to invest in ICOs or to buy any digital token for the time being since there are neither
conditions for digital asset trading centers and dealers like a case of customers’ asset containment. “Business operators play a vital role in the digital asset market. Therefore, SEC has issued the
key qualifications as follows: (1) a Thai company as a limited company or a listed company; (2) the required amount of a registered capital; (3) well-preparedness in work systems, financial status
royal decree came into force. SEADEX applied for an operating license before 14 August 2018 and that allowed SEADEX to continue its business operation according to the transitional provisions. SEC is in