transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period. 

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

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

In September 2025, the SEC received a total of 1,500 reports of suspicious instances and information requests from the public via the Investment Scam Hotline – almost doubled the number from August

following requirements; (1) initially acquires units of a trust not less than ten million baht; or (2) such person in (1) who acquires additional units, which results in the total value of not less than ten

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

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Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology

The SEC has reviewed the regulations concerning the SPO shares offering and the mai/SET listing requirements for LiVEx-listed companies to better accommodate small and medium-sized enterprises and