The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations

Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their

nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension

reports to the SEC Office with regard to their financial condition, business operation or any other information which may affect the rights and interest of digital asset holders or investment decision

financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the

The Securities and Exchange Commission (SEC) has considered it appropriate to designate 5 May 2023 as an additional special holiday for securities companies and derivatives business operators in line

On 15 August 2023, the SEC Board Meeting No. 12/2566 approved the proposed amendment to such advertisement regulations. The SEC is therefore inviting the public and the business sector to comment on

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business