application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
Mr. Jessada Sookdhis, President of Thai Fintech Association, said “Thai Fintech Association is very pleased to work with SEC in the project “SEC FinTech Challenge” to strengthen new fintech
, the SEC has launched the application fee reduction scheme to allow auditors affiliated with audit firms in the capital market to apply for approval as auditor in the capital market for the first time
On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
the development of the application that would be beneficial for investors, with which basic information can be convenient found and inspected. This application is another one of the measures
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมกับหน่วยงานพันธมิตร จัดกิจกรรม “Application Deep Dive” ภายใต้โครงการ Capital Market Datathon เวทีการแข่งขันออกแบบไอเดียสร้างสรรค์
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
investors, SEC has also developed the SEC Bond Check application, for easy access to the names of bonds that are issued and on sale, the tenor, the rates of interest, the risk levels, as well as the ability
licenses later if the applicant intends to undertake other types of securities businesses. The current licensing regime requires an applicant to submit an application according to the types of securities
launch of ?The Pride in Thai Innovative and Creative Businesses? Project, aiming to promote raising fund through capital market for innovative and creative businesses. The application period will last