Facebook page "Beginners understand stocks" : Unlicensed securities and derivatives business (Disclosure Date : 20/01/2026)
Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
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Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and https://publish.sec.or.th/nrs/4197pe_r.pdf Microsoft Word
, enabling investors to clearly understand the product characteristics and associated risks. The funds will be managed by asset management companies (AMCs), with crypto custody undertaken by specialized
crucial to ensuring operational efficiency and tangible outcomes. The SEC must operate with agility to swiftly respond to evolving circumstances. This agility is essential for upholding good governance
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and