Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to
those failing to comply with the law may be imposed with legal action.” On 2 July 2021, the SEC filed a criminal complaint against Binance,* a foreign digital asset business operator, for providing
Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022 the SEC disseminated the circular clarifying the guidelines for providing digital asset
Section 90 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) which states that no person shall undertake securities business without license. Violator of Section 90 is subject to penalties under
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC