. 2535 (1992) (SEC Act). Pursuant to the SEC Act, the SEC is empowered to supervise and develop the primary and secondary markets of the country’s capital market system as well as securities-related
has the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
Securities and Exchange Act B.E. 2535, with a mission to develop and supervise the Thai Capital Market to ensure efficiency, fairness, transparency, and integrity. In order to maintain fairness in the Capital
emissions. The objective of the Taxonomy is to standardize economic activities in order to use it as a benchmark or assess economic activities that are climate-aligned. The Taxonomy can also be one of the
capital of 5 million baht, requiring to have proper management structure and adequate personnel for business operations. ICO portals must be well-prepared to due diligence ICO issuers, assess business
efficient technology systems, a system to review and assess customers’ suitability, which is very important as digital assets contain high risks. Once applicants for licensing are well-prepared and have
Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business
process used by the organization to identify, assess, prioritize and monitor nature-related dependencies, impacts, risk and opportunities. (4) Metrics and Targets: Disclose the metrics and targets used to
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties