In face of the changing environment, such as technological development, volatility of the global financial and capital markets, impacts of the COVID-19 pandemic, and investors’ changing behaviors, intermediaries have adapted in response to such changes. For example, restructuring affiliated companies and optimizing the use of human resources to serve business expansion, including diversification of products and services. The SEC is therefore proposing to amend the regulations on the appointment...
SEC Secretary-General Ruenvadee Suwanmongkol said that the ongoing spread of COVID-19 is affecting some securities companies and derivatives business operators to the point that it is necessary to
has considered it is appropriate to announce the same dates official holidays of securities companies and derivatives business operators.________________________
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
Bangkok, 18 October 2016 ? The SEC is seeking public comments on the proposed rules concerning provision of securities and derivatives trading services with limited discretion according to clients
derivatives business operators concerning the standards of business conduct, management structure, operating system and services they provide.In this connection, the SEC will revise the rules governing