During the joint meeting held at the SEC Building yesterday, the SEC, led by Secretary-General Pornanong Budsaratragoon and the management, and the SET, led by President Dr. Pakorn Peetathawatchat and the management, discussed approaches that the SET could adopt to review rules relating to securities trading in cash account, particularly in placing asset as collateral before purchasing in securities. This is to ensure fair treatment between retail investors and foreign institutional investors ex...
association and the directors of TIA’s Shareholder Rights Protection Volunteer Club, and discussed the ways to enhance shareholder and investor rights protection in response to the changes in capital market
The “Aom No. 5” campaign’s main objective is to expand investor base, particularly those of working age, encouraging them to be prepared for the future and have saving discipline through dollar cost
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and giving advice or information on foreign currency denominated capital market products through Tha...
oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance
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
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC is proposing additional regulations related to custody of clients’ assets by requiring that digi...