depositories, which are financial market infrastructures, to deploy effective and secure risk management systems, provide services in a transparent and fair manner, and operate appropriately and correspond with
order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment objective of each client. “investment analyst” means a person
-risk or complex characteristics which could be categorized as follows: (a) complex instrument investment consultant type 1 is able to provide consultation on all classes of capital market product having
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
as DA Custodial Wallet Provider for DA issuers who provide custodial service on self-issued DA for their clients. The proposed revision would also require investment token issuers who provide custody
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
provide more flexibility to Thai securities companies who request the personnel of foreign business operators to provide investment advices on foreign products to Thai investors. The proposed revisions