Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows:             (1)  Rules that carry the material context similar to that state...

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

SEC Secretary-General Ruenvadee Suwanmongkol said “after the royal decree on digital asset businesses, B.E. 2561 came into force since 14 May 2018, it has attracted much interest from the public, particularly new-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs.As such, “SEC finds it necessary to enhance knowledge and understanding concerning related laws and regulations of the target groups via the SEC clinic to give advice on...

characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities

SEC Secretary-General Ruenvadee Suwanmongkol said: “The auditing context has evolved significantly over time. The SEC thus revises the requirements on approval of auditors in the capital market