business operators who have expertise in the investment products of interest, the services in which Thai business operators also have responsibilities to oversee the appropriateness of foreign business
Supervising Those who are in Contact with Investors ■ Promotion of Good Corporate Governance ■ Development of Legal Framework to Afford Better Protection for Clients’ Assets and Provide Mechanism for Investors
that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the
that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the
supervising the securities company under the first paragraph, the supervisor may authorize other company to perform such duty if the securities company is able to demonstrate that the authorized company is able
, 2019 onward. Revision has been made for escrow agent transactions to ensure increased flexibility; the Escrow Regulation Committee has been given more powers and obligations in supervising and
and stakeholders in supervising and developing a sustainable capital market, and to efficiently and effectively achieve the national missions within the scope of assigned authority and under the related
person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm ; and Is otherwise not involved in the engagement? 112
knowledge and information to the public in the northeastern part of Thailand. For example, the roles of the SEC in supervising the market and enhancing investor protection, giving of investment advice
Bangkok, 17 May 2018 ? The SEC is seeking public comments on the principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens