Services—Licence application advisory — SEC Thailand
Licence application advisory: SEC Thailand
Advisory for companies applying for digital asset business licences and securities and fund business licences under the supervision of the Securities and Exchange Commission, Thailand. You apply; we prepare the business, the file and the people behind it with you.
Who this is for
- Founders applying for a digital asset exchange, broker, dealer, custodial wallet, ICO portal or fund licence
- New securities, fund management and investment advisory businesses
- Foreign groups entering Thailand that need the SEC landscape explained before they commit
- Licensed firms adding a new licence type or responding to regulator questions
Licence types covered
Two licensing regimes under one regulator.
| Licence type | Regime | Typical applicant | What we help you prepare |
|---|---|---|---|
| Digital asset exchange | Digital asset business | Centralised trading venue for digital assets | Market rules, custody and segregation design, surveillance, IT and cyber controls, business plan |
| Digital asset broker | Digital asset business | Intermediary routing client orders to venues | Best-execution and client-asset policies, suitability, AML/CFT programme |
| Digital asset dealer | Digital asset business | Principal trading against clients | Capital and liquidity planning, conflicts framework, risk limits |
| Custodial wallet provider | Digital asset business | Safekeeping of client digital assets or keys | Key-management and custody architecture, operational resilience, insurance approach |
| ICO portal | Digital asset business | Platform screening and offering digital tokens | Due-diligence methodology, disclosure standards, issuer onboarding |
| Digital asset fund manager / advisor | Digital asset business | Managing or advising on digital asset portfolios | Investment process, valuation policy, client agreements, risk management |
| Securities business | Securities & fund business | Brokerage, dealing, underwriting, investment advisory | Capital adequacy approach, compliance manual, internal audit plan |
| Mutual / private fund management | Securities & fund business | Asset management companies, private fund managers | Fund governance, investment committee design, NAV and custody controls |
Typical mapping
The licence follows what the business does with client assets and orders.
-
Q1Do you run a venue that matches buyers and sellers of digital assets?YesDigital asset exchangeNo
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Q2Do you route or execute client orders on other venues?YesDigital asset brokerNo
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Q3Do you buy and sell against clients on your own account?YesDigital asset dealerNo
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Q4Do you hold client digital assets or their keys?YesCustodial wallet providerNo
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Q5Do you screen and offer digital tokens to investors?YesICO portalNo
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Q6Do you manage or advise on digital asset portfolios?YesDigital asset fund manager / advisor
What we deliver
A file the regulator can read, and a business that matches it.
- 01
Eligibility and gap analysis
Shareholding, capital, directors and key persons, systems and outsourcing — scored against the conditions.
- 02
Business plan and financial projections
Written for a supervisory reader: revenue model, risk appetite, capital runway and contingency.
- 03
Policy and procedure set
Governance, risk, compliance, AML/CFT, IT and cyber, outsourcing, business continuity, PDPA, conflicts, complaints.
- 04
Systems and operations documentation
Architecture, custody and segregation, surveillance, control matrices and the target operating model.
- 05
Submission review and Q&A support
Consistency check across every document, then prepared responses to regulator questions through to a decision.
Typical phases
Indicative durations — set in your assessment.
01 Assess
02 Design
03 Apply
Regulator reviewRegulator's timeline
04 OperateOngoing
Readiness checklist · preview
- Thai company structure and shareholding meet the licence conditions
- Minimum paid-up capital planned and sourced
- Directors and key persons identified and screened for fit-and-proper criteria
- Custody, segregation and key-management model decided
- Core systems selected, with outsourcing arrangements documented
- + the full checklist, shared after your assessment
Questions we are asked first
Straight answers, before the first meeting.
Which licence do I actually need?
It depends on what you do with client assets and client orders, not on what you call the product. The assessment maps your business model to the licence family and flags where a second licence, or a different regulator, may be involved.
How long will approval take?
The regulator sets its own review timeline and decides independently. What we control is the quality and consistency of the file and how quickly questions are answered. Our phases are planned in weeks, and the plan is set in your assessment.
Do we need a Thai company before we start?
No. Many clients start the assessment before incorporation, so the company is structured around the licence conditions from the beginning rather than restructured later.
What do you need from us to begin?
A description of the business model, the intended shareholders and key people, and where you are in planning. A 30-minute call is enough to set the scope of the assessment.
Do you stay involved after the licence is granted?
If you want us to. Ongoing support covers go-live readiness, interim compliance, inspection preparation and regulatory change monitoring.