migrated to the new structure (auto migration). The SEC Board has approved the revision to the principles. The SEC has therefore drafted 14 ministerial regulations and a notification concerning the
The Royal Decree on Digital Asset Businesses, B.E. 2018 stipulates that issuing and offering digital tokens must be approved by SEC and digital tokens must be offered through digital token portals
Supervisory Board recently approved regulations to allow offer for sale of commercial banks? Basel III tier 2 instruments to retail investors. Mutual funds, excluding money market funds, will also be permitted
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the
, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of investment management; “Office” means the Office