Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Ministers’ Process (APEC FMP) เรื่อง “การพัฒนาระบบนิเวศที่เอื้อต่อการสร้างความยั่งยืนในตลาดทุนและการเข้าถึงแหล่งเงินทุนผ่านการใช้เครื่องมือดิจิทัลต่าง ๆ” ที่กระทรวงการคลังร่วมกับ ก.ล.ต. จัดขึ้น โดยได้รับการ
of expenditure. Meanwhile, it would be very beneficial if the industry adopts CSR in process to banking business operations. Moreover, banking industry may further some of the SEC projects to promote
than those who open an account under the normal process. The happening of this service derives from an extension of commercial banks' service coverage in a sandbox project under the Regulatory Sandbox
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...