Thailand's Securities and Exchange Commission (SEC) is seeking comments on proposals to restructure disciplinary reviews of capital market personnel and broaden examination options for technical investment analysts. The changes would replace the existing Disciplinary Committee framework with an advisory panel mechanism at the SEC Office level and add domestic programs to the examinations recognized for analyst approval. The disciplinary proposal would repeal the provisions establishing the Disciplinary Committee for Capital Market Business Personnel, aligning the framework with arrangements for other expert panels that advise the SEC. It would preserve the division of responsibilities between the SEC Office, which considers cases and issues initial orders, and the SEC Board, which handles appeals. The Capital Market Supervisory Board approved the proposed principles in October 2026. The analyst qualification proposal, also approved in principle at that meeting, would expand recognition beyond overseas technical analysis programs to include SEC-recognized domestic examinations. Currently, the accepted programs are Chartered Market Technician (CMT) Level 1 or above and Certified Financial Technician (CFTe) Level 1 or above. The proposed expansion would provide additional examination pathways into the profession and support the development of domestic programs.

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