SEC’s 28th Anniversary Celebrations. We have set up two pantries, one at the front entrance and the other at the back ally of the SEC Building, to provide daily essential items such as rice, dry foods

” seminar’s morning session involved a lecture given by, SEC Deputy Secretary-General Sirivipa Supantanet, to provide knowledge about the capital market which can be accessed by business operators and

SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as follows: (1)      Implement a policy on fintech application at board or executives level ; (2)     ...

SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as follows: (1)      Implement a policy on fintech application at board or executives level ; (2)     ...

SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to have alternatives by using the capital market to accumulate wealth in the long run.SEC studied...

The cooperation between SEC and the Faculty of Law, Chulalongkorn University under these 2 MoUs is the beginning of a concrete cooperation on the following matters:              (1) Cooperation in developing business and human rights training courses for business sector in the Thai capital market is an assigned mission under the National Action Plan on Business and Human Rights Phase 1 (2019 – 2022) or NAP Plan, following the United Nations Guiding Principles on Business and Human Rights...

Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with