collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
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
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
business operator having NC below the minimum requirements.Now, SEC has drafted related regulations by taking into account the concerns and suggestions raised by the private sector during the public
business operator. The amended rules have come into force since 1 April 2020. _______________________Note:* ICO Portal is a provider of an electronic system for facilitating the offering of newly issued
financial instrument. Pursuant to the Royal Decree, digital assets include cryptocurrencies, digital tokens and any other electronic data unit, as specified by the SEC. The offering of newly issued digital
cryptocurrencies, digital tokens and any other electronic data unit, as specified by the SEC. The offering of newly issued digital tokens to the public must be conducted only by limited companies or public limited