of relevant laws to prohibit digital asset business operators from using digital assets as a means of payment for goods and services which may lead to a widespread use of digital assets beyond the
an investment account online. Starting from 9 November 2020, 6 securities companies and 4 asset management companies are ready to provide the online account opening service via NDID for customers
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
business providers must also have adequate personnel with the understanding in the basic operating principle, the risks of such an algorithm and the responsibility of using technology and use it to manage
from investment scams via various new forms and channels. In this regard, the SEC has observed a persistent trend of investment scams related to the capital market, with scammers often using online
investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the
an investment management business. The amendments aim to prevent the use of the initial public offering channel as a regulatory arbitrage tool. The public hearing on this matter was completed in May
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
obligation is performed by trust managers. However, trusts are listed securities on the Stock Exchange of Thailand; SEC therefore requires them to disclose information in the same way as securities issuing
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading