Bangkok, May 15, 2015 ?The SEC is seeking public comment on revisions of rules for securities and derivatives business operators in the areas of fiduciary duties, organization structure, operating system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and operating system with a view to applying the same and consistent standards to all types of busine...
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the capacities of an investment consultant and private fund manager without obtaining the necessary license. In this context, he sought public engagement regarding the value of securities and the suitability of investments associated with securities, as well as the management of individuals' investme...
public to be cautious when being asked to trade digital assets. The public should examine whether the operator is on the list of SEC’s digital asset business applicants. SEC reiterates that SEC has not
websites or email: pitchal@sec.or.th. The public hearing ends on 7 November 2023. ___________________Remark:* Any individuals appointed by the Board of Directors of DA operator to be the highest-ranking
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the
digital asset business operator failing to comply with Section 35 of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) may subject to consideration of license revocation
asset business operator under the SEC’s supervision and is required to comply with the Digital Asset Business Law along with any relevant rules and regulations established under the law. This
Live Chat at the SEC website: www.sec.or.th. Mr. Anek Yooyuen, SEC Deputy Secretary-General and Spokesperson, said: “According to the specified legal procedures, if any digital asset business operator
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator