Currently, the SEC regulates three types of bills, namely: 1) bills that are considered as securities, 2) bills that are considered as securities but under the exemption of regulations regarding offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to revise the definition of bills that are considered as securities as follows: (1) being bills of ex...
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
predicate offense under the Money Laundering Control Act. The SEC has therefore forwarded the case to the Anti-money Laundering Office for further consideration regarding relevant matters. In any case, filing
Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the
Bangkok, August 31, 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing determination of licensing fees imposed on securities and derivatives business operators
related to digital assets and securities. The two related draft notifications are: (1) the Notification concerning Determination of the Definition of “Executive” in Compliance with the Emergency
companies are instructed to comply with the Guidelines for Prevention and Control of the Novel Coronavirus Disease 2019 (COVID-19) in Case of Holding Meetings, Seminars or Other Activities of Similar Nature
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and