Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...

the Bankruptcy Act B.E. 2483 (1940). The second MOA is for cooperation in establishing an enterprise architecture. Both MOAs aim to promote efficiency and effectiveness of duty performance of both

efficiency of enforcement.The Advisory Committee on Listed Company Monitoring comprises: (1)  Secretary-General as Chair; (2)  Deputy Secretary-General in charge of corporate finance as member;(3)  Deputy

enhance the efficiency of the existing provident funds. Essentially, the key principles of the amendments are as follows:  1. Fund management and structure: e.g., revising provisions to support the

regulations to improve fund management efficiency and offer a wider range of investment choices to members. The revision also includes provisions for a central registrar to facilitate employers and employees

joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by

SEC Secretary-General Ruenvadee Suwanmongkol, SEC Assistant Secretary-General Jomkwan Kongsakul and team met Mr. Claude Marx - Director General of Luxembourg’s financial market watchdog CSSF, Ms. Daniele Berna-Ost - CSSF Secretary-General and team. Both parties achieved an agreement to arrange a cooperative framework on fintech for exchange of information involving major developments and issues on fintech supervision and oversight. This framework was similar to those CSSF agreed with capi...

SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development of audit quality of auditors. In preparing for the amendment proposal, SEC has assigned Thailand Development Research Institute (TDRI) to study and analyze laws and mechanisms related to supervision on auditors and audit firms in the Thai capital market in comparison to foreign counterparts and to...