of different intermediaries amid the fast changing industry and technological environments. Some of the first focuses of the principles-based supervision include company policy, compliance system, risk
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
, 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
providers. In addition, investment token issuers who provide deposit and custodial service on self-issued investment tokens would be required to establish a system or mechanism for clearly segregating DA of
of audit quality of auditors. In preparing for the amendment proposal, SEC has assigned Thailand Development Research Institute (TDRI) to study and analyze laws and mechanisms related to supervision
proposal. The drafted regulations specify digital asset custodial wallet provider as a digital asset business which is required to apply for a license, and prescribe provisions on supervision of digital
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
Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
Gains System : Unlicensed digital asset business (Disclosure Date : 09/08/2019)