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
liquidity management tools, and stress test on liquidity risk according to international standards. On 20 October 2020, the Capital Market Supervisory Board Meeting No. 17/2563 passed a resolution
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
companies in compliance with professional standards.Earlier, the SEC conducted a public hearing on the proposed principles for requiring audit firms in the capital market to maintain a minimum number of
-stimulating competition and enhance stakeholder competitiveness; (3) to protect investor rights and maintain market confidence; (4) to establish robust operational and risk management systems; and (5) to expand
measures relating the purchase of securities through cash balance account in case of abnormality in the trading of securities to ensure that such rules or measures are appropriate for the current market
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide
Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E