SEC has a plan to revise the relevant notification to allow investment consultants of operators of securities and the derivative contract business, who have expertise in investment and keeping
. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
SEC Secretary-General Ruenvadee Suwanmongkol said: “Digital asset businesses are regulated under the Emergency Decree on Digital Asset Businesses. Only providers who have obtained relevant
Currently, asset management companies have established mixed funds with more diversified asset allocation to meet different demands of investors and to enhance efficiency for managing investment
The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with
have been repealed because the Notification on Capital Market Business Personnel has already prescribed rules on such matter; (3) Consolidating regulations concerning the same issues for
SEC has been supporting Thai firms in issuing Green Bond, Social Bond and Sustainability Bond. Over the past few years, international capital markets have developed SLB, a sustainable finance product
variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an
, have played a critical role in supporting businesses and individuals through the Covid-19 pandemic. Now financial services have an equally important role to play as we recover - fostering a new, better