Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated

in which business operators invest. Additionally, the definition of special liabilities will be revised to include other outstanding liabilities for greater flexibility. The essences of the proposed

Bangkok, 23 February 2024 – The Securities and Exchange Commission Board (SEC Board) has passed a resolution to recommend the revocation of digital asset business license of Zipmex Co., Ltd

major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty

Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to

SEC Secretary-General Ruenvadee Suwanmongkol said: “The ESG-focused business practice and investment help to promote sustainable investment. This is a growing trend in capital markets around the

these reports to the SEC on a weekly basis within two business days. The consultation paper with details of the proposed amendments and attachments is available at https://www.sec.or.th/TH/Pages

, all clients must be informed accordingly.The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=918. (Thai version only) Stakeholders and interested parties are