pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
retail mutual fund; (2) Tax-exempted juristic persons under Thai laws such as Government Saving Bank, foundations or monasteries, and the like; (3) Investors in the investment units of ASEAN CIS offered
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
trading practice (3) allowing any other person to use a digital asset trading account, bank account, account opened with a digital asset business operator or any other account for making payment in
under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of
manipulation (Section 244/6) 1. Opening a joint bank account for making a payment or receiving a payment related to or because of a securities trading; 2. Allowing any person to seek benefits by using