capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
program for auditing difficult and complex areas, staff training limited to theoretical lectures and lack of case study on issues requiring professional judgement and professional skepticism, particularly
information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation
have laws about this already” – Agencies are staffed by lawyers, not software engineers – Enforcement is very, very difficult • When regulation comes to crypto, it will likely be voluntary, driven by
for operating a derivatives regulatory association only upon meeting the criteria such as having good corporate governance structure, establishing rules for recruiting and supervising members that are
at a fixed rate of 2 million baht. Over the years, the trading volume on TFEX have been increasing continuously. Thus, to align the fee with the cost of supervising derivatives exchange and in line
accommodate the HK-TH MRF project. In this regard, SEC applies the same principles for supervising the ASEAN Collective Investment Schemes (ASEAN CIS) and the Asia Region Funds Passport (ARFP), for which
companies; Ensuring fair treatment to shareholders of a takeover target company; Enforcing cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability
Commission, Thailand (SEC) is seeking public comments on a proposed revision to the principles for supervising digital asset (DA) custodial wallet providers. This would involve an exemption from the definition
General of the Revenue Department. Ms. Jomkwan provided insights and discussed the rules and guidelines for developing and supervising the digital asset market in Thailand, as well as the promotion of