equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the

prospectus to ensure that investors would receive sufficient and appropriate information for their decision making without the misunderstanding that a term fund is a cash deposit in a commercial bank and

SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital

SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai

persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to

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

disclosure and risk warnings on such issues to ensure consistency and proper conduct by DA operators. The essences are as follows: (1) DA operators must disclose the risks on their financial condition

procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

transitional provisions, to ensure their digital asset business operations before 14 May 2018 and this information will be disclosed on SEC website: www.sec.or.th/digitalasset.SEC Board will assess