, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets
requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
DA operators will have a proper organizational structure with checks and balances in their management and the board of directors will be able to perform their duties more efficiently, taking into
providers by allowing the custodial wallet providers that are listed companies or subsidiaries in the group, who have expertise, experiences, and readiness in custody of securities and other financial assets
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
Coalition Against Corruption programme ( Thai CAC ) under Thai Institute of Directors (as of June 30, 2024) are categorised into: companies that have declared their intention to join CAC, and companies
Coalition Against Corruption programme ( Thai CAC ) under Thai Institute of Directors (as of June 30, 2024) are categorised into: companies that have declared their intention to join CAC, and companies
Coalition Against Corruption programme ( Thai CAC ) under Thai Institute of Directors (as of June 30, 2024) are categorised into: companies that have declared their intention to join CAC, and companies