Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The

The SEC’s monitoring of digital asset developments and advertisements of digital asset business operators have shown that the current criteria for the formats and the practices of presenting risk

Pursuant to the Emergency Decree on Digital Asset Businesses of 2018, digital asset business operators are required to obtain a relevant license from the Minister of Finance. Since 2018, three types

Earlier, the SEC conducted a public hearing on the proposed principles and draft amendments to the net capital rules for business operators regarding the definition of Qualified Subordinated Debt

Association (TISA), and the Institute of Internal Auditors, Thailand (IIAT), co-organized a panel discussion on cybersecurity for risk management and IT audit personnel of business operators in the capital

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

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