refresher course for IA renewal, ensuring common standards across the industry;   (3) To establish transitional provisions to accommodate the refresher course training for IA who have already started training

business license, Sor-1 type, for failure to maintain the required qualifications, effective 24 July 2023.The SEC is responsible for ensuring derivatives business operators’ compliance with the applicable

. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and

of the Securities and Exchange Act, ensuring their protection and avenues for redress. Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, acting Secretary-General, and Mr. Rongrak

opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre

thus not subject to the RMF investment continuity requirement. Employees are also entitled to transfer of the remaining PVD membership to RMF to be eligible for a tax break provided that all

one day in advance). Business hours: Mondays - Fridays (except public holidays) from 08:30 - 15:00 hours. (lunch break) Location: The Securities and Exchange Commission 333/3 Vibhavadi-Rangsit Road

essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that

margin loans and the loans to any particular client to ensure greater caution;   (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed

seminars underscore SEC Thailand’s commitment to building a sustainable capital market by equipping investment professionals with essential ESG knowledge and analytical tools, ensuring they are well