SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

an investment account online. Starting from 9 November 2020, 6 securities companies and 4 asset management companies are ready to provide the online account opening service via NDID for customers

SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market

.;    (2)  Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that

opening an investment account cross the industry, to be applicable for all types of investment products.* The draft regulations take into account the comments and suggestions gathered from the previous

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 startups. We would like to invite startups or interested persons to propose ideas, concepts or projects related to fintech to the contest. Or if anyone is seeking a topic, Thai Fintech Association has contacted universities and business operators who support the project and they can present solutions t...

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

On 14 December 2023, SEC Secretary-General Pornanong Budsaratragoon and the management team attended the opening ceremony of the 6th Money Expo 2023 Bangkok Year-End, which was presided over by Mr

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by