SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

and the settlement and delivery systems must be efficient.SEC disseminates the public hearing document on this matter at SEC website: https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=546

Committee has conducted a public hearing in this matter to seek comments from state officials, stakeholders of respective agencies, service users and the public.  In this regard, SEC has drafted the SEC’s

give more emphasis on this matter.”  In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be

prescribed thereunder by SEC Board, CMSB or SEC Office; or           (2)  Rules that get insignificant revision while maintaining the original essence such as reclassification of subject matter or correcting

matter via SEC Facebook Page on 24 March 2021, 2pm – 4pm. __________________________

police regarding their investment with HashBX, the SEC has received complaints from the investors and found additional information. The SEC is gathering more facts in this matter and coordinating with

voting rights” and opened public hearing on the matter in late 2018. The stakeholders mostly agreed with the principle. SEC is proposing a draft notification of the Ministry of Finance which reflects

must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required

matter are changed, SEC must revise the rules on the rotation of auditors accordingly. SEC has recently revised the rules on rotation of auditors of listed companies and will likewise revise such rules