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

Bangkok, March 21, 2013 ? The SEC informed all securities companies, asset management companies, financial advisors, and derivatives business operators in the capital market on the promulgation of

Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The

Following the SEC’s review of the definition of major shareholders of business operators requiring approval, the revised criteria are intended to ensure that the approval process also covers ultimate

industries (cross sector), both domestically and internationally, which may create opportunities for unsuitable persons to become involved with business operators, either directly or indirectly. These factors

As part of its review of the definition of major shareholder applicable to derivatives business operators required to obtain approval, the SEC aims to ensure that the definition appropriately

Earlier, the SEC revised the principles on the prohibited characteristics of business operators to provide greater clarity and to better reflect current risk developments. The SEC then conducted a