Thailand – SEC Investment Regulations

Thailand – SEC Investment Regulations

On 8 October 2019 Thai SEC proposed changes on investment transactions.

  • SEC is preparing rules for investors to buy, sell investment units more conveniently.
  • To enable the public to have access to and use the Thai capital market for savings and investments, SEC is making proposals to create opportunities and reduce limitations.
  • By leveraging advances in technology and the development of new financial services.


  • Proposes taking away the requirement for business operators to be divided into areas and the requirement to use of securities company as part of the business name.
  • Cancels regulations requiring sale of mutual funds of many asset management firms.
  • In order to protect investors, business operators that can provide services through specialized branches online may sell only uncomplicated mutual funds.


  • Comment period ends 18 October 2019.