Thailand’s Securities and Exchange Commission has revised regulations for securities and derivatives business operators to reinforce “responsible business” expectations focused on investors’ best investment outcomes and to improve supervisory efficiency, including tighter requirements around reporting business changes. The revised responsible business framework adds an outcome-based supervisory approach alongside existing standards on integrity, competency, and prioritising investors’ interests. Firms must establish oversight mechanisms covering products and services, pricing and value for money, customer understanding, and customer care, with boards of directors held accountable for overseeing business operations. Separately, business change reporting rules now require operators to notify the SEC prior to implementation. The amendments were issued via two Capital Market Supervisory Board notifications and take effect from 1 April 2026 onwards. The SEC also published a Responsible Business Handbook to set out detailed expectations and implementation guidance.
Thailand Securities & Exchange Commission 2026-02-03
Thailand Securities and Exchange Commission strengthens outcome-based responsible business rules and advance notification of business changes
The Thailand Securities and Exchange Commission has revised regulations for securities and derivatives business operators to enhance responsible business practices and supervisory efficiency, effective 1 April 2026. Key changes include an outcome-based supervisory approach, stricter oversight mechanisms, and mandatory pre-implementation reporting of business changes to the SEC.