supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
scope of digital asset business currently covers only digital asset exchange, digital asset broker and digital asset dealer. Therefore, the SEC Board views it appropriate to add digital asset advisory
in favor of the SEC guidelines – and also covers clearer revision of mutual fund schemes. For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages/PB_Detail.aspx
. The new digital platform also covers clearing and settlement, register of instrument holders, custody of instruments, and payment of interest or dividends.“The pilot project will be conducted on
, and (4) the revision to the criteria for reporting conflicts of interest of company directors.? In addition, the proposal covers laying out of good practice guidelines for executing related party
, and (4) the revision to the criteria for reporting conflicts of interest of company directors. In addition, the proposal covers laying out of good practice guidelines for executing related party
, and to increase intermediaries? flexibility and efficiency in providing investment services conducive to fair competition with foreign counterparts.The hearing covers draft rules on provision of
lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on