SEC Search

License Check banner. Suspicious unlicensed securities business operation can be informed for further investigation at the SEC hotline 1207. Information contained in this news release is as of the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6138

SEC files a criminal complaint against a British citizen for unlicensed securities business operation

further legal proceedings. Anyone who may have been affected because of his unlicensed securities business operation should give their accounts for the ECD Police?s further investigation and procecution by

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6204

SEC public hearing on proposed regulations to accommodate partnership-based securities and derivatives business operation

the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8375

SEC streamlines regulations to alleviate redundancy and facilitate intermediaries’ operation under regulatory guillotine scheme

protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8947

SEC supports electronic report submission to facilitate operation of business sectors, scheduled for completion in Q4 of 2021

The SEC will issue further regulations to revise the report submission of securities companies, derivatives intermediaries and trustees. In this regard, all reporting data will be reviewed collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the SEC to be replaced with other disclosure means, for example, disclosure of information via generall...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132

SEC Thailand’s public hearing on proposed law amendment to support more flexible operation of an association related to securities business

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=683

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

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

SEC seeks public comments on a proposed amendment to the Securities and Exchange Act to enhance flexibility in operation of associations related to securities business

The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis; (2) Provision that will allow the association to invest in certain types of securities, provided that, such investment is made...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8842

good corporate governance and responsible business operation

principles to responsible in-process business operation in line with the Sustainable Development Goals (SDGs) of the United Nations.The current Initiative participants, both companies and organizations, will

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7636