) Elevating the e-KYC standard, which SEC would issue a guideline for the licensed entity to introduce the technology in getting to know the clients, to strengthen the assurance on their Know Your Client
, products, mutual funds, listed companies, mergers, intermediaries business operators, auditors, financial advisors, various litigations, licensed and registered persons including mutual funds information
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
it may lead to total loss of investment money. The SEC strongly urges investors interested in high-risk products to contact properly licensed business operators only. The
services for licensed business operators in Thailand. The revised rules will support business capabilities for local players as well as enable them to gain further experiences in providing services to
, there is one licensed derivatives exchange operator, namely Thailand Futures Exchange Public Company Limited (“TFEX”), which has operated since 2006. SEC has begun collecting fee from TFEX since 2011
On 11 December 2019, the SEC Board passed a resolution approving ThaiBMA as a licensed securities depository under the regulatory sandbox project whereby blockchain technology is implemented to
suggests that digital asset transactions be executed through licensed digital asset business operators that are supervised by regulators to ensure that such investment is protected by law. In this regard
knowledge and understanding of cryptocurrency. In case of unqualified investors, investment through a licensed digital asset fund manager would be allowed, and (2) Digital asset business operators would be
) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5) These ICOs may lack trading liquidity and may not support cash