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
proactive teamwork to further advance joint initiatives in various areas such as promotion of listed companies’ adoption of Sustainable Development Goals. The meeting took place at the SEC Building on 5
capital market and the digital economy at large. “We would like to sincerely thank all TDO members for joining this transformative occasion to strengthen our cooperation and proactive teamwork to further
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
SEC is ready to cooperate and render support to the Teachers and Educational Personnel Debt Management Project under this MOU by contributing information, teamwork and speakers to provide knowledge
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