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
provide services to non-retail investors** regarding investment in foreign products without investment limit. However, the current regulations concerning investment of Funds do not cover investment in
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by
The amended regulations on the reporting of changes involve securities, namely shares, convertible securities and derivatives held by directors, executives and auditors of listed companies.** By
operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks: * Means (1) a securities firm licensed to undertake the
Currently, the existing regulations require that the foreign issuer of baht bonds comply with the approval and disclosure rules in the same manner as other types of bonds. Additionally, to issue and
The SEC is proposing to amend the regulations regarding funding portals to implement a more suitable and effective system for screening or evaluating the credibility and risk level of crowdfunding
conducting this hearing on the draft regulations and relevant attachments concerning capital requirements for securities and derivatives business operators (“business operators”) involved in digital asset
In 2018, the SEC issued regulations governing the management and storage of data related to digital asset business operations. It is now deemed appropriate to amend the regulations to ensure