SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the
, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis; (2) Provision that will
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
wider access to financing sources for business operation of Thai small and medium enterprises, and to enhance the overall efficiency of Thai financial sectors.
of digital asset business operators, the SEC would maintain the existing guidelines prescribed under the Emergency Decree on Digital Asset Businesses, which involve the supervision through licensing
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the
cooperation with other relevant organizations. The SEC also invited representatives from the Court of Justice and the Department of Business Development, the Ministry of Commerce, to present their respective
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
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