The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC) and the Thai Bankers’ Association, organized the Financial

During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the

The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and

, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor

The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...

Arbitral Procedure Organized by the SEC Office (No. 2)

operators are unable to maintain net capital   (b)  business operators default on the clearing and settlement of securities with the clearing house or their clients in case of securities companies, or

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

organized AMG assessment program since 2006. Throughout these years, we witnessed continuous improvement as most companies earned better scores each year; and this year the average score was even higher at

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.