digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to extension to the time frame of readiness preparation for
Co., Ltd. (Coin Asset / website: coinasset.co.th).Two of them are seeking licenses to operate as digital asset dealers:(1) Coins TH Co., Ltd. (Coins TH / website: coins.co.th);(2) Digital Coin Co
, the CMSB approved underwriters to provide service in foreign currency denominated securities, the service of which has previously been provided by brokers and dealers.?With a view to enabling investor
://www.sec.or.th/EN/Pages/ABOUTUS/SEC_VUTTIKRAI.aspx English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
dealers who act in the manner as specified in the notification of the SEC. “digital token portal service provider” means a provider of an electronic https://www.sec.or.th/EN/Documents/ActandRoyalEnactment
Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with
making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. Being licensed or registered as the derivative dealers pursuant to the
Derivatives Dealers (Synopsis) 01/06/2010 16/06/2010 4. Notification of Capital Market Supervisory Board Tor Thor. 80/2552 Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
for Licensed Derivatives Dealers (Synopsis) 01/06/2010 16/06/2010 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand