Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
implement mechanisms for the supervision of its affiliated and associated companies. These mechanisms must be examined by the holding company’s audit committee and board of directors. Measures ensuring that
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
Presently, supervising “digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange; digital asset broker; and digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies have expressed interest and discussed with SEC the possibility of offering the services. These secur...
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
Pursuant to the Ministerial Notification concerning Approval for Undertaking of Digital Asset Businesses, effective since 13 July 2022, DA custodial wallet provider is required to obtain a DA business license before providing the custodial wallet. In this regard, the definition of DA Custodial Wallet Provider may cover deposit or custodial service for all types of DA, including such deposit or custody without the objective of custodial service business as in the case of DA issuers who provide cu...