settlement system, to provide transaction services to investors. SEC has found that all regulated business operators have implemented their business continuity plan to tackle possible impacts of the Covid
, vested on the court of justice. The SEC would like to emphasize that digital asset businesses are regulated under the Digital Asset Business Emergency Decree. Only providers who have obtained relevant
investment planner, classified as a new category of regulated capital market personnel.
SEC Secretary-General Ruenvadee Suwanmongkol said: “Digital asset businesses are regulated under the Emergency Decree on Digital Asset Businesses. Only providers who have obtained relevant
minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc
have developed applications such as SEC Check First and SEC Bond Check as a self-help tools for investors to check products or service providers that are regulated by SEC. In addition, SEC has formed
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
practitioners to become self-regulated community, especially in the oversight of members’ compliance with ethical and professional codes of conduct and imposition of disciplinary actions. The SEC has also