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SEC seeks public comments on proposed amendments to the regulations governing the “Disciplinary Committee for Capital Market Business Personnel” and qualifications for “technical investment analysts”



Tuesday 27 October 2026 | No. 229 / 2026


Bangkok, 27 October 2026 – The Securities and Exchange Commission (SEC) is seeking public comments on proposed principles for amending the regulations governing the Disciplinary Committee for Capital Market Business Personnel (Disciplinary Committee). The proposed amendments aim to enhance clarity and align the regulations with those governing other panels of qualified experts responsible for providing opinions to the SEC, taking into account credibility, transparency, and operational efficiency. In addition, the SEC is proposing to revise the qualification requirements for approval as a technical investment analyst by expanding the options for taking SEC-recognized knowledge examinations.

The Capital Market Supervisory Board, at its meeting in October 2026, approved the proposed principles for amending the regulations governing the Disciplinary Committee. The proposed amendments would repeal the provisions establishing the Disciplinary Committee under Notification No. Tor Lor Thor. 8/2557* and establish an advisory panel mechanism at the SEC Office level to align the regulations with those governing other panels of qualified experts responsible for providing advisory opinions to support the SEC’s consideration. The proposal takes into account credibility, transparency, and operational efficiency, while maintaining a clear division of roles between the SEC Office’s consideration and issuance of orders at the initial stage and the SEC Board’s authority at the appeal stage.

At the same meeting, the Capital Market Supervisory Board also approved the proposed principles for revising the qualification requirements for approval as a technical investment analyst by adding SEC-recognized domestic examination programs. Currently, the SEC recognizes only overseas technical analysis knowledge programs, namely the Chartered Market Technician (CMT) program at Level 1 or above and the Certified Financial Technician (CFTe) program at Level 1 or above. The proposed revision is intended to expand options and opportunities for personnel to develop their capabilities and enter the technical investment analyst profession, and to support the future development of domestic programs that benefit the capital market industry.

The consultation paper is available on the SEC website at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1233 and on the Legal Hub at https://law.go.th/. Relevant stakeholders and interested parties may submit comments through either website or by email to aurawan@sec.or.th, sutasanee@sec.or.th and witchulada@sec.or.th by 2 November 2026. This timeframe is intended to enable the new consideration approach to be applied to matters currently in process in a timely manner and to ensure continuity and efficiency in operations.



Note: * Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014





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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. 229 / 2026 Tuesday 27 October 2026
SEC seeks public comments on proposed amendments to the regulations governing the “Disciplinary Committee for Capital Market Business Personnel” and qualifications for “technical investment analysts”

Bangkok, 27 October 2026 – The Securities and Exchange Commission (SEC) is seeking public comments on proposed principles for amending the regulations governing the Disciplinary Committee for Capital Market Business Personnel (Disciplinary Committee). The proposed amendments aim to enhance clarity and align the regulations with those governing other panels of qualified experts responsible for providing opinions to the SEC, taking into account credibility, transparency, and operational efficiency. In addition, the SEC is proposing to revise the qualification requirements for approval as a technical investment analyst by expanding the options for taking SEC-recognized knowledge examinations.

The Capital Market Supervisory Board, at its meeting in October 2026, approved the proposed principles for amending the regulations governing the Disciplinary Committee. The proposed amendments would repeal the provisions establishing the Disciplinary Committee under Notification No. Tor Lor Thor. 8/2557* and establish an advisory panel mechanism at the SEC Office level to align the regulations with those governing other panels of qualified experts responsible for providing advisory opinions to support the SEC’s consideration. The proposal takes into account credibility, transparency, and operational efficiency, while maintaining a clear division of roles between the SEC Office’s consideration and issuance of orders at the initial stage and the SEC Board’s authority at the appeal stage.

At the same meeting, the Capital Market Supervisory Board also approved the proposed principles for revising the qualification requirements for approval as a technical investment analyst by adding SEC-recognized domestic examination programs. Currently, the SEC recognizes only overseas technical analysis knowledge programs, namely the Chartered Market Technician (CMT) program at Level 1 or above and the Certified Financial Technician (CFTe) program at Level 1 or above. The proposed revision is intended to expand options and opportunities for personnel to develop their capabilities and enter the technical investment analyst profession, and to support the future development of domestic programs that benefit the capital market industry.

The consultation paper is available on the SEC website at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1233 and on the Legal Hub at https://law.go.th/. Relevant stakeholders and interested parties may submit comments through either website or by email to aurawan@sec.or.th, sutasanee@sec.or.th and witchulada@sec.or.th by 2 November 2026. This timeframe is intended to enable the new consideration approach to be applied to matters currently in process in a timely manner and to ensure continuity and efficiency in operations.



Note: * Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014