In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related

Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information

Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of

obstacles to living or occupations will be abolished or revised to lessen burden on people. By doing so, methods used must be done with speed, transparency, low costs with participation of all related

businesses during the suspension period.SEC reiterates that personnel in capital market businesses must perform duties or provide services with integrity and act in accordance with ethics or professional

capital rules serve as initial capital requirement for those intending to operate a securities business. Once the business operation begins, the licensees must also maintain on-going capital suitable for

securities or derivative contracts, which must be consented to by the clients. SEC has made the public hearing document available at  www.sec.or.th/hearing.  Related persons and interested parties may

operators in the capital markets who plan to apply fintech must comply as follows: (1)    Set a policy on fintech application at board or executives level; (2)    Have personnel understand the basic

the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as

the amount of debt relieved by the rehabilitation plan, interest claims, prescriptions of civil suits, etc. In addition, JAS must submit to the SEC and publicly disclose the rectified and audited