Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public
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
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
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
SEC Secretary-General Ruenvadee Suwanmongkol said that the ongoing spread of COVID-19 is affecting some securities companies and derivatives business operators to the point that it is necessary to
In face of the changing environment, such as technological development, volatility of the global financial and capital markets, impacts of the COVID-19 pandemic, and investors’ changing behaviors, intermediaries have adapted in response to such changes. For example, restructuring affiliated companies and optimizing the use of human resources to serve business expansion, including diversification of products and services. The SEC is therefore proposing to amend the regulations on the appointment...
whereby there is a system interconnection for those providers/partners to access critical data of business operators or their customers’ data. The consultation paper is available at https://www.sec.or.th/TH
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
has considered it is appropriate to announce the same dates official holidays of securities companies and derivatives business operators.________________________