Bangkok, October 6, 2015 ? The SEC is seeking public comment on draft rules governing business operators of investment services to customers in foreign currency denominated products which are offered
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This
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
business sector. Therefore, the Regulatory Guillotine is an important scheme under SEC strategic plan (2020-2022). SEC will lessen its processes, procedures and document required for submission toward SEC
Earlier on 5 August 2021, the SEC Board Meeting No. 14/2564 approved the proposal for amending the regulations related to supervision of digital asset business operators whereby digital asset
diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
proposal to better manage business risks.The draft operational procedures rules for intermediaries which fail to meet the ongoing capital requirement are also under this public hearing.The consultation paper
outsourcing, facilitate more flexibility, reduce operating cost and enhance business in the area outside the business operator?s specialization. Business operator will be allowed to outsource activities
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain