The regulator is seeking feedback on proposed rules for introducing broker agents, covering due diligence, permitted activities, remuneration, supervision and investor disclosures.
Thailand’s Securities and Exchange Commission (SEC) has opened a consultation on draft rules governing the use of introducing broker agents (IBAs) by securities and derivatives business operators. The rules are expected to come into effect in the fourth quarter of 2026 The proposed framework is intended to clarify the role of IBAs, standardise how firms appoint and supervise them and reduce overlapping regulatory requirements. The consultation follows an earlier public hearing on the p