SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai

asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to

capital rules serve as initial capital requirement for those intending to operate a securities business. Once the business operation begins, the licensees must also maintain on-going capital suitable for

whose licence is revoked to take any action to protect the interest of its clients.

Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are

Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to

, SEC has developed, reviewed, and revised regulations on the operation of investment management business covering the management of mutual fund from launching to termination, by doing as follows

areas to enhance investor protection; for example, running public information campaigns to raise awareness about class-action litigation as a way to protect investors’ rights, improving the investor

Complex Type 2 Investment Consultant

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