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SEC revises IA refresher course regulations, effective from 1 July 2025 onwards



Wednesday 2 July 2025 | No. 164 / 2025


Bangkok, 2 July 2035 - The Securities and Exchange Commission (SEC) has revised the regulations governing the refresher courses for investment analysts (IA) to enhance their appropriateness in alignment with IA roles and responsibilities. 

The revisions to the IA refresher course regulations are intended to improve the knowledge requirements for IA, making them more appropriate and aligned with the performance of roles and responsibilities of IA. The key revision points are as follows:  
              (1) Separating the regulations governing the approval criteria for renewal of IA registration from those of investment consultants (IC) and investment planners (IP), so that the minimum requirements in relation to knowledge and training hours required can be stipulated in line with the types and experiences of IA, i.e.:
                     (1.1) Rules and regulations, ethics or related laws in connection with investment analysis (at least three hours);
                     (1.2) Fundamental knowledge about Environmental, Social, Governance (ESG) aspects (three hours) (in case of the first application for registration renewal by all types of IA);
                     (1.3) Knowledge about ESG investment analysis (at least three hours) (not applicable to technical investment analysts). 
              (2) Designating the Stock Exchange of Thailand (SET), with the SEC recognition, to define the scope of knowledge and training standards and approve the refresher courses for IA registration renewal, so as to ensure common standards across the industry;     
              (3) Establishing transitional provisions to accommodate the refresher course training for IA who have already started training under the current criteria, including the full course training for IA who have missed renewal and wish to seek re-approval.
             
The above amendments took effect from 1 July 2025 onwards. 

Remark:

1 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 22/2568 Re: Rules on Personnel in the Capital Market Business (No. 20) dated 11 June 2025 (https://publish.sec.or.th/nrs/10749s.pdf):

          - Attachments to the Notification – Qualifications of Personnel in the Capital Market Business (https://publish.sec.or.th/nrs/10750s.pdf)    

          - Attachments to the Notification – Qualifications of Applicants for Registration Renewal Approval (https://publish.sec.or.th/nrs/10751s.pdf)












Building Confidence in the Capital Market
NEWS
Securities and Exchange Commission
Corporate Communication and Investor Service Department
Tel. (66)2033-9502-5 E-mail: press@sec.or.th
No. 164 / 2025 Wednesday 2 July 2025
SEC revises IA refresher course regulations, effective from 1 July 2025 onwards

Bangkok, 2 July 2035 - The Securities and Exchange Commission (SEC) has revised the regulations governing the refresher courses for investment analysts (IA) to enhance their appropriateness in alignment with IA roles and responsibilities. 

The revisions to the IA refresher course regulations are intended to improve the knowledge requirements for IA, making them more appropriate and aligned with the performance of roles and responsibilities of IA. The key revision points are as follows:  
              (1) Separating the regulations governing the approval criteria for renewal of IA registration from those of investment consultants (IC) and investment planners (IP), so that the minimum requirements in relation to knowledge and training hours required can be stipulated in line with the types and experiences of IA, i.e.:
                     (1.1) Rules and regulations, ethics or related laws in connection with investment analysis (at least three hours);
                     (1.2) Fundamental knowledge about Environmental, Social, Governance (ESG) aspects (three hours) (in case of the first application for registration renewal by all types of IA);
                     (1.3) Knowledge about ESG investment analysis (at least three hours) (not applicable to technical investment analysts). 
              (2) Designating the Stock Exchange of Thailand (SET), with the SEC recognition, to define the scope of knowledge and training standards and approve the refresher courses for IA registration renewal, so as to ensure common standards across the industry;     
              (3) Establishing transitional provisions to accommodate the refresher course training for IA who have already started training under the current criteria, including the full course training for IA who have missed renewal and wish to seek re-approval.
             
The above amendments took effect from 1 July 2025 onwards. 

Remark:

1 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 22/2568 Re: Rules on Personnel in the Capital Market Business (No. 20) dated 11 June 2025 (https://publish.sec.or.th/nrs/10749s.pdf):

          - Attachments to the Notification – Qualifications of Personnel in the Capital Market Business (https://publish.sec.or.th/nrs/10750s.pdf)    

          - Attachments to the Notification – Qualifications of Applicants for Registration Renewal Approval (https://publish.sec.or.th/nrs/10751s.pdf)