Skip Ribbon Commands
Skip to main content
The Securities and Exchange Commission

Intermediaries
Intermediaries
From : Home > Market Professionals > Intermediaries > Regulatory Principles / Objectives
Intermediaries
Regulatory Principles / Objectives
Laws & Regulations
List of Business Operators
Search for related personnel
Online Filings / Form Download
Enforcement
Supervision and inspection of intermediaries
What's New
Asset Management
Regulatory Principles / Objectives
Intermediaries are securities or derivatives business operators who mediate between securities issuers and investors, give investment advice and represent investors in securities trading. As investors’ assets are at stake, intermediaries must maintain a sound financial condition and undertake their businesses competently, responsibly and honestly.   
 
Any corporate entity wishing to undertake intermediary business must obtain a license or, in case of derivatives brokerage and dealing, be registered with the SEC beforehand. This is to ensure that practitioners and related persons including company directors and executives, investment analysts, investment consultants and investment planner are qualified to perform duties and provide quality services to investors.  
 
Intermediaries are also required to put in place reliable operational and risk management systems to safeguard clients’ assets and prevent negative impacts on the overall trading system.
 
 
Last updated on 06 May 2015
The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
Tel. +66 2033 9999 Fax. +66 2033 9660 e-mail : info@sec.or.th<
Copyright www.sec.or.th 2013 Privacy Policy | Disclaimer | Site Map