Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
service presentation, as a resolution to the issue of investment and savings towards the investing public. The regulations also emphasize on the significance of self-supervision for business providers.SEC
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
their own financial well-being beyond retirement.?Additionally, the SEC will continue to promote alternative fundraising methods for small-sized enterprises and startups that use technologies to manage
enterprises and startups that use technologies to manage costs on the existing platforms, for example, crowdfunding. ?In promoting effective supervision, the SEC continues to focus on three areas, namely (1
Bangkok, April 10, 2015 - The SEC summarized the development and supervision on the capital market from late 2011 to early 2015 with achievements in lifting up the Thai capital market to match the
Bangkok, April 10, 2015 - The SEC summarized the development and supervision on the capital market from late 2011 to early 2015 with achievements in lifting up the Thai capital market to match the