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joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7560

SEC and Investment Banking Club discuss guidelines for increasing efficiency in fundraising supervision and enhancing professional quality

The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10170

Securities watchdogs of Thailand and Luxembourg join hands to develop fintech for higher efficiency in capital market fund raising

SEC Secretary-General Ruenvadee Suwanmongkol, SEC Assistant Secretary-General Jomkwan Kongsakul and team met Mr. Claude Marx - Director General of Luxembourg’s financial market watchdog CSSF, Ms. Daniele Berna-Ost - CSSF Secretary-General and team. Both parties achieved an agreement to arrange a cooperative framework on fintech for exchange of information involving major developments and issues on fintech supervision and oversight. This framework was similar to those CSSF agreed with capi...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8531

SEC proposes principles for enhancing efficiency of supervision on auditors and audit firms in the capital market

SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development of audit quality of auditors. In preparing for the amendment proposal, SEC has assigned Thailand Development Research Institute (TDRI) to study and analyze laws and mechanisms related to supervision on auditors and audit firms in the Thai capital market in comparison to foreign counterparts and to...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8409

SEC amends regulations on provision of advisory services for investment in foreign capital market products to enhance efficiency and flexibility

At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and giving advice or information on foreign currency denominated capital market products through Tha...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10504

SEC signs MOU with Central Institute of Forensic Science to increase efficiency in testing evidence of offenses in the capital market.

SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8539

SEC public hearing on proposed amendments to the regulations on establishing or relocating office branches of business operators to reduce their burdens and enhance efficiency of investor protection

branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9935

SEC is open to comments on the revision of the draft notification on the operation system of business operators so as to increase their operational efficiency

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8393

SEC public hearing on a proposed requirement of minimum number of auditors in the capital market to promote the efficiency of audit firms in the capital market.

the capital market. The proposed amendments aim to promote the efficiency of the audit firms in the capital market and their staff sufficiency to provide high-quality audit services to listed

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10434