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
Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of technology, such as provision that requires business operators to disclosure its financial statements to...
Rules in Detail related to Proprietary Trading of Intermediaries
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
convenient market access, more efficient cost management of existing and new intermediaries in fulfilling investors? demands, enhancing market supervisory standards, and corporate reform to streamline