National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Bank
ThailandBank of Thailand
Source / Native Reference: 泰国中央银行
- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 10
- Active / regulated
- 10
Statutory Supervisory Mandate & Scope
Bank of Thailand (BOT) (BOT) is the Tier-2 statutory financial markets and securities supervisory authority in Thailand. It grants and supervises financial services licences across broker-dealers, investment advisers, asset managers, and market operators, enforcing initial and ongoing prudential capital requirements, segregated client asset rules, market conduct standards, and public register disclosures.
Prudential Tier Assessment
Tier-2Tier-2 national capital markets, securities, and derivatives supervisory authority in Thailand, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (Bank)
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by Bank in Thailand.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $150,000 – $500,000 equivalent minimum paid-up capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $75,000 – $150,000 equivalent minimum paid-up capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under Bank.
National Investor Protection / Compensation Scheme (Thailand)
- Maximum coverage per client
- Subject to statutory national investor protection fund limits and segregated trust priority
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
Bank Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
Bank Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Thailand
- Bank Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Thailand)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to BankAnnual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Operates under Thailand national jurisdiction and IOSCO MMoU cross-border supervisory cooperation.
Supervised institutions & Bank licence records in our database
10 licence records referencing Bank (10 regulated/registered).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| Siena Shepherd Bank(Global network record) | Number pending check | Regulated | Banca Monte dei Paschi di Siena S.p.A. | — | |
| UniCredit S.P.A.(Global network record) | 21310 | Regulated | UNICREDIT BANK GMBH | 2023-12-15 | |
| Bangkok Bank(Global network record) | Number pending check | Regulated | BANGKOK BANK PUBLIC COMPANY LIMITED | — | |
| BCEL(Global network record) | Number pending check | Regulated | Banque Pour Le Commerce Extérieur Lao Public | — | |
| KBank(Global network record) | Number pending check | Regulated | KASIKORNBANK PUBLIC COMPANY LIMITED | — | |
| Krungsri(Global network record) | Number pending check | Regulated | Bank of Ayudhya | — | |
| Krungthai Bank(Global network record) | Number pending check | Regulated | Krungthai Bank | — | |
| Mediobanca(Global network record) | 815600DDCE9083CAC598 | Regulated | Mediobanca Premier S.p.A. | — | |
| Phongsavanh Bank(Global network record) | Number pending check | Regulated | PHONGSAVANH BANK LTD | 2007-03-29 | |
| SCB(Global network record) | Number pending check | Regulated | Siam Commercial Bank | — |
Bank (Thailand): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under Bank (Thailand)?
Bank (Bank of Thailand) supervises financial institutions in Thailand under Securities and Capital Markets Act of Thailand and Bank Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $150,000 – $500,000 equivalent minimum paid-up capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $75,000 – $150,000 equivalent minimum paid-up capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does Bank provide statutory investor compensation and mandatory client asset segregation?
Under Bank's framework, investor protection is governed by National Investor Protection / Compensation Scheme (Thailand) with maximum coverage of Subject to statutory national investor protection fund limits and segregated trust priority (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with Bank Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does Bank regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
Bank's digital-asset regime is structured around Bank Digital Asset / Tokenized Securities & VASP Regulatory Framework (Regulates security tokens, crypto derivatives, and licensed digital asset intermediaries in Thailand.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's Bank licence number and check our 10 recorded licence entries?
Our database currently tracks 10 licence records referencing Bank (10 marked regulated or registered). To verify a counterparty at the primary source, open Bank's official public register (https://www.bot.or.th/en/home.html), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
Related regulatory & market structure briefings
Research and compliance analysis from Sovereign Tax Atlas relevant to Bank and Thailand.
Sovereign Tax & Treaty Architecture
OECD Pillar Two 15% Global Minimum Tax (QDMTT, IIR & UTPR), CARF Digital-Asset Reporting, and Cross-Border Financial Withholding Tax Architecture (2026)
An authoritative 2026 sovereign tax reference analyzing OECD/G20 GloBE 15% minimum effective tax rate (ETR) mechanics, QDMTT/IIR/UTPR charging priority for multinational banks and brokers, Investment Entity exclusions, IRC Section 871(m) dividend equivalents, and OECD CARF / EU DAC8 automatic exchange.
Institutional Fund Domiciles & Family Office Regimes
Irish Collective Asset-management Vehicle (ICAV) & 15% US-Ireland Treaty WHT: Statutory vs. Bilateral Treaty Withholding Tax Rate Matrix (2026) (15.0% US Equity Dividend Treaty WHT Benchmark)
Irish Collective Asset-management Vehicle (ICAV) & 15% US-Ireland Treaty WHT (IRELAND-ICAV-UCITS) stands at 15.0% (US Equity Dividend Treaty WHT) (Source: Central Bank of Ireland / IRS Art. 10, 2026-10-20), governing div
Cross-Border Tax Treaties
Irish Collective Asset-management Vehicle (ICAV) & 15% US-Ireland Treaty WHT: Economic Substance, Minimum AUM & Local Staffing Qualification Rules (15.0% US Equity Dividend Treaty WHT Benchmark)
Irish Collective Asset-management Vehicle (ICAV) & 15% US-Ireland Treaty WHT (IRELAND-ICAV-UCITS) stands at 15.0% (US Equity Dividend Treaty WHT) (Source: Central Bank of Ireland / IRS Art. 10, 2026-10-20), governing des
FATCA, CRS & Cross-Border Information Exchange
Irish Collective Asset-management Vehicle (ICAV) & 15% US-Ireland Treaty WHT: QDMTT, IIR & UTPR Effective Tax Rate (ETR) & Top-Up Calculation (15.0% US Equity Dividend Treaty WHT Benchmark)
Irish Collective Asset-management Vehicle (ICAV) & 15% US-Ireland Treaty WHT (IRELAND-ICAV-UCITS) stands at 15.0% (US Equity Dividend Treaty WHT) (Source: Central Bank of Ireland / IRS Art. 10, 2026-10-20), governing Sub
Statutory licensing classes, base capital rules, and investor protection summaries for Bank (Thailand) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on Bank’s official public register.