6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
aspects of existing rules may need to be reviewed. Therefore, the SEC would like to propose a regulatory approach on ICO and seek public comments to ensure appropriate regulatory responses. 4 II. Regulatory
regarding the criteria, conditions, and procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters. To ensure that the private
blueprint is the result of thorough analysis and re-adjustment of focus. Each issue will be explored to the core with stakeholders? interest in mind to ensure right-to-the-point, effective problem solving
: Rules, Conditions and Procedures for Undertaking of Digital Asset Businesses, as amended; (2) Revise the management and personnel structures to ensure proper and adequate structures for conducting
business operators before the royal decree on digital asset businesses went into effect on 14 May 2018. “SEC has a duty to standardize business practices to ensure that operators are well-equipped in terms
Digital Asset Businesses B.E. 2561 (2018), must cease operation; however, to ensure proper proceeding of related matters including notification to the clients regarding asset refunds or asset transfers to
conformity with the transitional provisions, to ensure their digital asset business operations before 14 May 2018 and this information will be disclosed on SEC website: www.sec.or.th/digitalasset . SEC Board
“Digital Asset Fund Manager” purporting to ensure that the services investors will receive from the investment advisor or fund manager are up to the same standard of conduct obligated by other digital asset
important that the SEC team, as a change agent, embraces transition to change, creates awareness, supports and facilitates, and fosters engagement to ensure a smooth, effective and sustainable transition