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...
SEC Secretary-General Pornanong Budsaratragoon said: “The Thai capital market has developed in line with the global emphasis on climate change initiatives. The Thai version of the TCFD Recommendations, prepared by the SEC with support from the TCFD, is a vital tool for listed companies, investment analysts and asset managers to gain a better understanding of climate-related financial disclosures that involve risks and opportunities concerning climate change, enabling them to analyze secur...
competitive, whereas provide Thai investors with more choices of investment and better diversification.? For details on issuance and offering of local currency-denominated bonds under AMBIF, please visit
proposed amendments would: (1) apply the same auto approval principles for the establishment of local branches to the applications for establishment of foreign branches as well, (2) remove the mandatory
country as well as the additional requirements specified in the MoU and such mutual fund shall be offered through local distributor(s) approved by the host country. In this regard, the supervisory
offering of investment units issued by general mutual funds in Thailand, such as the requirements on prospectus, fact sheet and annual report. In addition, a local representative or representative office
conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows: (1) Prohibiting local securities companies from accepting orders of purchase
conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows: (1) Prohibiting local securities companies from accepting orders of
infrastructure to facilitate connectivity among business sectors, both existing and new, and market participants in order to accelerate product and service innovations. Also, cybersecurity has been enhanced
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the