Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
wallet provider, and other rules related to the digital asset business operations. The main objectives of the proposed amendments were to build an adequate and appropriate investor protection mechanisms in
custodial wallet provider” as a new digital asset business under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) whereby an application for a license would be required to be submitted to
exemption from the definition as DA Custodial Wallet Provider would be given to DA issuers who provide custody of self-issued DA for their clients, in line with the intent to supervise DA custodial wallet
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk
. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange
guidelines issued thereunder. This allows SEC to supervise the operation of ICO portal related to IT systems more efficiently and in accordance with the oversight standards imposed on other types of
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft