Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business op...
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
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
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
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 The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019, with the objectives to ensure that assistance on portfolio advisory and program trading is made...
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...