, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business operators and investors. As the capital market regulator, the SEC must adjust to these changes without
, or business operators under the supervision of SEC, to have awareness of operating business with good governance, social and environmental responsibilities and respect for human rights. The priority
SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business
Bangkok, 17 January 2023 – The Securities and Exchange Commission (SEC) has issued regulations requiring digital asset business operators that provide custody of clients’ digital assets to establish
effect as from September 10, 2014. Note: Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of
Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Reported by
capital market. This is to allow existing business operators, apart from securities companies, financial institutions, or newly established companies as specified in the current ministerial regulation, to
of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) of the Notification of Capital Market Supervisory Board No
Operators and in violation of Clauses 23(2) which was the 3rd category prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the Notification of Capital Market
Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators and in violation of Clauses 23(2) which was the prohibited characteristics of