the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC
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
The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee
The Securities and Exchange Commission (SEC) and the Association of Thai Securities Companies (ASCO) co-organized the SEC 2024 Supervision Approach and Risk Management Guideline seminar to foster
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และสมาคมบริษัทหลักทรัพย์ไทย (ASCO) ร่วมจัดงานสัมมนา SEC 2024 Supervision Approach and Risk Management Guideline เพื่อเสริมสร้างความเข้าใจ
, organized by Asia Asset Management. Speaking on the topic “Digital Asset and Finance: A Perspective from Thailand,” she shared experiences, challenges, and guidelines related to the supervision and
asset business under the SEC supervision. Additionally, the regulatory framework for digital asset exchanges has been revised to enhance oversight mechanisms and address concerns related to price
digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for