Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public
SEC is welcoming public comments on a drafted notifications of the approval for offering of newly issued shares and information disclosure, applying to issuers and listed companies, in accordance with the International Organization of Securities Commissions (IOSCO) standards and FSAP. Reexamining these regulations would help to further credibility of the Thai capital market and to build up confidence for both domestic and foreign investors. For the principle of the revision, the SEC had al...
that related parties are able to perform their respective duties to the fullest capacity. This is to support a well-balanced financial reporting ecosystem and enhance the quality of financial reports of
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through 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 giving advice or information on foreign currency denominated capital market products through Tha...
oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
The public hearing under the regulatory guillotine scheme welcomes comments from the public and stakeholders regarding review and revision to the debt securities regulations. The proposed amendments would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is proposing to review the regulations governing debt securities of all types and related notifications. I...