supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall
provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
. The SEC is therefore conducting a public hearing on the proposed amendments. The major changes to be introduced are as follows: (1) Specifying the process of SEC Office in assessing whether the
special audit process, which remains incomplete. Furthermore, JKN must take the results of the special audit into consideration when assessing the impact on its financial statements. The SEC has
a crowdfunding system; (2) crowdfunding must be conducted through a funding portal approved by SEC and the funding portal must have a system for assessing creditworthiness and risks of debenture
approved, SEC will begin assessing digital token offer of ICO issuers.ICO issuers must be companies established under the Thai legal jurisdiction, with clear business plan and clear rights for digital
stage, an offer for sale of ASEAN CIS will be allowed only to institutional investor and high net worth individual as they can take care of and protect their own benefit and are capable of assessing
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO