/RoyalEnactment/enactment-digitalasset2018.pd... ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ derivatives fund managers being a financial institution regulated by other agencies; “ electronic data” means data
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
/RoyalEnactment/enactment-digitalasset2018.pd... ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ derivatives fund managers being a financial institution regulated by other agencies; “ electronic data” means data
adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen investor
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider
, as a regulated financial institution, is awaiting the clarification of the forthcoming Bank of Thailand’s notification in order to perform in compliance with the mandatory guidelines. Corporate
: Classification of Automobile and Motorcycle Hire Purchase Enterprises as a Business which Contract is Regulated B.E. 2561 (2018) The Notification of the Contract Committee Re: Classification of Automobile and
internal committee reviews some or all screening decisions; ▪ Automated IT systems prevent investments in excluded stocks; ▪ Systematic process that alerts the portfolio manager, compliance team and ESG team
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