SEC supervisory framework focuses on their capability to maintain qualifications in accordance with the governing rules as well as their knowledge on investment and regulations related to investor
channel as a tool to evade or contravene the governing law and regulations (regulatory arbitrage) on the undertaking of investment management business,* which prescribe stricter supervision. For example, it
authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board
establishment of the Sustainable and Responsible Investing Fund (SRI Fund). The regulations governing such fund are expected for completion within this year. “In addition, the SEC is ready to be the center for
governing Thai equity offerings and add on certain necessary rules and conditions to ensure adequate investor protection, which will contribute to the Thai capital market?s growth and stability in the long
During April – May 2023, the SEC conducted a public hearing to seek comments and suggestions on the proposal to amend the regulations governing the optional systems of digital asset business
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
sell the aforementioned assets and that any future sale of these assets would be executed in compliance with the governing regulations. Later on 19 January 2024, NUSA notified the exercise of the legal
securitization. “trust” means trust in accordance with law governing trust for https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/RoyalEnactment/act-specialjuristicperson1997... 123.pdf ) สำนักงำน ก.ล.ต. จึง
the regulations governing the optional systems of digital asset business https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10237 SEC public hearing on proposed revision to supervision of digital