types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
, including foreign digital asset business operators, were soliciting the public to make investments with, or use services of, such unlicensed entities at a financial technology exhibition held at a shopping
business and market environment; multidimensional development of ecosystem by taking into account views and opinions from all stakeholders; and focusing on root cause or target group in order to provide
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
Bangkok, August 16, 2016 ? The SEC is urging the shareholders of Adamas Incorporation Public Company Limited (ADAM) to thoroughly study the proposed share acquisition for business takeover of
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
Bangkok, 8 January 2019 ? The SEC announced that the Ministry of Finance, under the recommendation of the SEC Board, has granted digital asset business licences to four applicants and rejected two
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide