abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
) and organizations of capital market business operators. This aims at preparing Thai capital market?s infrastructure to be more responsive to global changes, enhance flexibility of supervisory structure
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
addition, SEC and the capital market business operators have already made necessary preparations and discussed guidelines on business continuity management. Also, respective business continuity plans have
this information service system will act as the information infrastructure for the financial sector and capital market allowing the private sector to use it in business expansion and capital market
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations