the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as
SEC Secretary-General Ruenvadee Suwanmongkol said: “The ESG-focused business practice and investment help to promote sustainable investment. This is a growing trend in capital markets around the
Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business
securities law, pushing forward the enactment of important laws, and strengthening sanctions against non-compliances.Furthermore, the SEC plans to drive the Thai capital market to become a regional investment
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
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