invest in assets that could be fraudulent, and SEC has not been able to extend its supervisory coverage to such businesses. Therefore, SEC intends to improve the regulations to be consistent with the
while securities company is able to meet requirements of the customers, and may also help increase the liquidity and improve the bond secondary market and the mutual fund market. However, securities
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from
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to the project.SEC Secretary-General Ruenvadee Suwanmongkol said : “SEC has planned to adopt the DLT into digital infrastructure in every activity in the Capital Market, which will improve all
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
comments and suggestions from the focus group consultation in November last year. The draft amendments would also improve market readiness and reduce compliance cost. The essences of the proposed amendments
IOSCO Principles;(2) To revise the regulations for applying for and granting of securities registrar license: The proposed amendments specify and improve the qualifications including capital
with related parties to improve the supervision.”SEC disseminates the public hearing document on this issue at SEC website: www.sec.or.th/hearing. Any related parties and interested persons are