During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the
financial position and operating results as required by law, and also on the condition that the filing fees have been paid within the specified timeframe. Over the years, the SEC has observed that the
Bangkok, May 13, 2013 ? The companies aiming to broker a variety of investment units offered by different asset management companies will be eligible to apply for Type D license. Certain requirements
requirements. Digital assets which will be traded in exchanges are required to follow the listing rule of exchanges which must be approved by SEC Board.Any digital asset trading within the digital asset
while securities company is able to meet requirements of the customers, and may also help increase the liquidity and improve the bond secondary market and the mutual fund market. However, securities
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows