reporting such incidents to the SEC;            (4) To adjust the applicable scope for investment advisory business operators to ensure that they will be able to implement sufficient controls for managing

Following the issuance of regulations on information technology systems in 2022*, the SEC recognizes that the current rules should be updated to enable business operators in the capital market to

for at least two years;  (4) To adjust the applicable scope of investment advisory business operators to ensure their implementation of sufficient controls over the management of IT-related risks

The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with

SEC Secretary-General Rapee Sucharitkul stated that SEC has issued notifications related to the offering of digital token through ICO process and the the approval of ICO portal under the Royal Decree on Digital Asset Businesses, B.E. 2561. The regulation will come into force since 16 July 2018.Since the royal decree stipulates that the issuance of ICO must be done only through ICO portals which will act as initial screener of ICO issuer. After the related notifications come into effect, S...

Bangkok, June 5, 2013 ? The SEC revised rules on outsourcing in securities and derivatives businesses to enhance flexibility and efficiency of business operators. The revised rules will become

Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities

Bangkok, May 30, 2014 ? The SEC is seeking public comment on revision of rules governing advertisement of all capital market products for more clarity and practicality.  The revisions also address

Bangkok, July 7, 2015 ? The SEC is revising rules on private placement (PP) of newly issued shares to protect existing shareholders and prevent the exploitation of this means for the benefits of any

Bangkok, January 19, 2016 ? The SEC is seeking public comments on draft rules and guidelines for supervising crowdfunding portals.The proposed rules aim to establish a standard framework for