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SEC public hearing on drafted amendment to the regulations on capital market business personnel



Tuesday 29 June 2021 | No. 122 / 2021


Bangkok, 29 June 2021 – The Securities and Exchange Commission (SEC) is seeking public comments on a drafted amendment to the regulations governing personnel in the capital market businesses by extending the period for approval renewal to be on any business day until the last business day of the year. The proposed amendment aims to give the capital market businesses more time to submit an application for renewal of approval, and reduce redundant processes and cost burdens on personnel in the capital market businesses.

Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last business day of the year wherein the approval will expire, and (2) require the business operator to submit an application, notify the commencement and termination of duty performance, and renew the approval for the personnel working for them.

In late last year, the SEC sought stakeholders’ opinions on the principles of the proposed amendment and most agreed with the proposal. Currently, the SEC is seeking public comments on the proposed amendment to two relevant notifications prescribing the regulations on capital market business personnel.  

The consultation paper is available at https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=724. Stakeholders and interested parties are welcome to give comments and suggestions via the website or email: nattarika@sec.or.th or rattaya@sec.or.th. The public hearing ends on 27 July 2021. 

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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. 122 / 2021 Tuesday 29 June 2021
SEC public hearing on drafted amendment to the regulations on capital market business personnel
Bangkok, 29 June 2021 – The Securities and Exchange Commission (SEC) is seeking public comments on a drafted amendment to the regulations governing personnel in the capital market businesses by extending the period for approval renewal to be on any business day until the last business day of the year. The proposed amendment aims to give the capital market businesses more time to submit an application for renewal of approval, and reduce redundant processes and cost burdens on personnel in the capital market businesses.

Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last business day of the year wherein the approval will expire, and (2) require the business operator to submit an application, notify the commencement and termination of duty performance, and renew the approval for the personnel working for them.

In late last year, the SEC sought stakeholders’ opinions on the principles of the proposed amendment and most agreed with the proposal. Currently, the SEC is seeking public comments on the proposed amendment to two relevant notifications prescribing the regulations on capital market business personnel.  

The consultation paper is available at https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=724. Stakeholders and interested parties are welcome to give comments and suggestions via the website or email: nattarika@sec.or.th or rattaya@sec.or.th. The public hearing ends on 27 July 2021. 

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