The SEC proposed to amend the regulations relating to annual fee regime for intermediaries to improve equality of fee rate among intermediaries operating the same activities and to ease the burden

SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital market.  In order to do this, the Thai capital market must rely on the driving force of the intermediary business operators in driving and strengthening the capital market to become an effective vehicle of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary...

in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to

restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money

transactions in money laundering and financing of terrorism, which include : (1) customer acceptance / establishment of a business relationship (2) temporarily restriction /suspension of services, termination of

prevent the use of securities transactions in money laundering and financing of terrorism, which include : (1) customer acceptance / establishment of a business relationship (2) temporarily restriction

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

. Under the sandbox regime, ThaiBMA has set up a DLT-based bondholder data storage system, which will allow entities related to issuance and offering of bonds – i.e., investors, issuers, underwriters