been implementing several measures for preparing market participants for the amended rules. More emphasis is on sufficient and reliable disclosure of information by issuing companies and financial

reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms

Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the

No. TorThor. 45/2553 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to Establish Branch Offices (No. 2) _____________ By virtue of

Commission No. SorDor. 46/2552 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House ---------------------- By virtue of Section 14, Section

year to September 1st to the last business day of each year. This is to provide greater flexibility for business operators and capital market business personnel in applying for an approval renewal

regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure

’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will

SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For

has therefore amended the regulations related to quota allocation for foreign exchange transactions of digital asset business operators,* applying to digital asset fund managers inclusively. The