THAILAND: SEC Proposes Principles Regarding Responsible and Internationally Compliant Securities and Futures Business Operations

Monday August 11 2025

On 8^th August 2025, the Securities and Exchange Commission (SEC) issued draft announcements regarding responsible business practices and the supervision of changes in the business of securities and futures businesses to ensure that businesses conduct business responsibly, considering the best investment outcomes for investors. This is in line with international standards, and the SEC has the data to effectively monitor and supervise businesses.

The SEC is therefore open to receiving comments on the principles and draft announcements from business operators and the public, with the following key principles:

1. Raise the principles of business conduct according to the principles of responsible business so that business operators conduct their business in accordance with these principles and consider the best benefits from their investments as a priority.
2. Require business operators to have a supervision process to ensure that business operations are conducted in accordance with the principles of responsible business and in line with the expectations of the SEC, which covers operations in terms of products and services, fees, customer understanding, and customer support and assistance, including requiring the business operator’s board of directors to be responsible for supervising business operations.
3. Improve the supervision of business changes by clearly specifying the nature of changes that business operators must report to the SEC and adjusting the reporting from the original requirement of reporting after the change to reporting before the change.

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