Bank of Thailand and SEC Regulatory Compliance Corporate Training
Make Bank of Thailand and SEC compliance your team's operational strength, practiced in guided labs.
Give your enterprise teams the compliance skills that keep every license, filing, and control audit-ready. Edstellar's Bank of Thailand & SEC Regulatory Compliance corporate training gives your employees practical techniques to map obligations, design control frameworks, and prepare for examinations. Delivered as hybrid training by experienced practitioners, each program is tailored to your licenses and regulators, with outcomes you can report.
Instructor-led group trainingVirtual / on-site / off-site10 languagesDelivered inEnglish, Spanish, Mandarin, German, Arabic, Portuguese, Hindi, French, Japanese, Italian100+ countriesWe have delivered inUnited States, United Kingdom, India, Canada, Germany, France, Netherlands, UAE, Saudi Arabia, Singapore, Australia, Japan, Brazil, South Africa and 90+ more countries
How we build a regulatory-ready team
THE EDSTELLAR COMPLIANCE CAPABILITY MODEL
Map compliance baseline
Skill checks map your team's BOT and SEC knowledge, control design, and audit readiness.
Set shared standards
One playbook for obligations, control matrices, evidence packs, and filing calendars.
Practice in guided labs
Labs build control matrices, disclosure checklists, and examination response packs.
Measure readiness
Lab reviews benchmark each employee's regulatory and audit-readiness skill.
Scale across teams
One standard rolls out across entities, branches, and business lines.
Need more than one program?Get a group quote
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Program Overview: What is Bank of Thailand and SEC Regulatory Compliance Corporate Training?
Bank of Thailand & SEC Regulatory Compliance Corporate Training is Edstellar's instructor-led program for compliance teams at Thai financial institutions. Participants master regulation foundations, BOT licensing and reporting, SEC disclosure and conduct, control framework design, examination response, and monitoring with remediation. It is designed for banks and securities firms answering to both the Bank of Thailand and the SEC.
Training centers on examination evidence across seven modules. Participants build obligation registers, design control matrices, and assemble evidence packs in guided practice sessions tied to BOT and SEC expectations. Instructors coach teams through walkthrough questions and findings responses the way supervisors conduct them. The program closes with a mock supervisory examination capstone: teams submit evidence, handle walkthroughs, receive findings, and commit to remediation.
Thai supervision tests substance: the BOT and SEC check whether obligations are tracked, controls evidenced, and findings remediated. Teams that scramble when the examination letter arrives start from behind. This program teaches your people to keep examination readiness as a standing state, so the mock is harder than the real thing.
The capstone is a full mock supervisory examination over your team's obligation register, control matrices, and evidence packs: evidence submitted, walkthrough questions handled, findings received, remediation committed. Your team meets the examiners in rehearsal first.
Understand how the two regulators divide supervision across banking and capital markets activities, where their expectations overlap for financial groups, and how supervisory communication typically flows. Participants map mandates to their own business lines so nothing sits unowned.
Enhance capability with hands-on practice: disclosure checklists, control matrices, evidence binders, and remediation plans. Collaboration across compliance, risk, legal, and audit teams is built into every lab.
What's Included in this Workshop for Your Enterprise Teams
- 1
Tailored compliance curriculum
Content mapped to your licenses and regulators.
- 2
Guided regulatory labs
Build control matrices, checklists, and evidence packs.
- 3
Real-world use cases
Scenarios from Thai banking and markets work.
- 4
Skills assessment
Pre and post checks measure regulatory readiness.
- 5
Materials and support
Workbook, templates, and post-training support.
- Hybrid delivery: live instruction plus guided labs
- Scheduled around your team's calendar
- Flexible batches for cohorts of any size
- Content mapped to your licenses and products
- Workbook and template pack included
- Post-training support for your team
Build your team's skills. Anywhere in the world.
Real-world use cases
from day one
Instructor-led training
for your teams
Delivered globally
in 100+ countries
Enterprise Training Solutions Customized for Your Company
One partner for instructor-led corporate training, delivered the way your teams work.
Request a Training Quote- Customized Training Delivery
- Scale Your Training: Small to Large Teams
- In-person Onsite, Live Virtual or Hybrid Training Modes
- Plan from 2000+ Industry-ready Training Programs
- Hands-On Labs on Live Infrastructure, Led by Industry Experts
Bank of Thailand and SEC Regulatory Compliance Course Topics and Program Outline
A tailored 27-hour, seven-module workshop: one learning journey from regulatory foundations to a capstone mock examination. Sessions pair concepts with labs on real-world use cases. Materials include a workbook and templates, plus a capstone assessment.
Built by Edstellar with compliance practitioners
Built by practitioners who run compliance programs in regulated financial firms, shaped around your stack and use cases.
Skill checks baseline your team's regulatory knowledge, control design skill, and audit readiness before training begins.
Live instruction covers BOT and SEC mandates, licensing, and reporting duties across 6 focused hours.
Guided labs build control matrices, disclosure checklists, and evidence packs across 12 hours of supervised practice.
Your team completes a capstone mock examination in 9 hours, reviewed against examiner expectations.
From regulatory foundations to a capstone mock examination, every technique is practiced in guided labs.
Delivered as
A hybrid program of live instruction and guided labs, scheduled in flexible batches.
Map mandates to a sample firm's licenses, products, and entities.
learna)BOT mandate and supervised entities
b)SEC mandate and regulated activities
c)License categories across banking and markets
d)Where the two regimes overlap
Build a reporting calendar for a sample bank's obligations.
learna)Licensing and approval touchpoints
b)Prudential expectations for banks
c)Periodic reporting and data submissions
d)Supervisory information requests
Draft a disclosure checklist and review sample communications for gaps.
practicea)Securities business licensing scope
b)Public disclosure and filing expectations
c)Conduct requirements for intermediaries
d)Marketing communication controls
e)Record-keeping for intermediaries
Build a control matrix for selected BOT and SEC obligations.
practicea)Compliance program architecture
b)Policy and procedure libraries
c)Control matrices: obligations to controls
d)Ownership across the three lines
e)Testing control design effectiveness
Assemble an evidence pack and draft a remediation plan.
practicea)Examination lifecycle and document requests
b)Evidence binders and traceability
c)Management interviews and walkthroughs
d)Finding responses and remediation plans
e)Tracking issues to closure
Configure an alert triage workflow and a regulatory change log.
applya)Ongoing monitoring design
b)Surveillance alerts and escalation
c)Regulatory change management
d)Incident and breach reporting workflows
e)Board and committee reporting
Complete a mock examination with instructor review and scoring.
applya)Integrated mock examination scenario
b)Evidence submission and walkthrough
c)Findings debrief and scoring
d)Remediation commitments
Customize this program tailored to your team?
Tell us your training needs: what your team already works with, the level they’re at, and the topics you want them to focus on. We’ll adjust the modules, duration and hands-on labs, and send you a customized outline for your group.
Key Skills and Outcomes Your Team Will Gain
Your team builds the compliance competencies regulators expect: mapping obligations, designing controls, and staying audit-ready. Each skill is practiced in labs and measured through lab reviews.
Map BOT and SEC obligations
Trace every license, filing, and disclosure duty to the regulator that owns it and the business line it touches.
Interpret licensing duties
Read licensing and approval requirements for banking and securities activities and translate them into operating checklists.
Draft disclosure checklists
Build disclosure and filing checklists that capture what must be reported, when, and with what supporting evidence.
Design control frameworks
Architect compliance programs with policy libraries, control matrices, and clear ownership across the three lines.
Assemble evidence packs
Compile audit-ready evidence binders that trace each control to its test result for examination walkthroughs.
Run remediation plans
Draft finding responses with owners, deadlines, and verification steps, and track issues through to closure.
Track regulatory change
Maintain a change log that maps new expectations to policies, controls, and training updates.
Teams that Benefit from this Bank of Thailand and SEC Regulatory Compliance Group Training
This group training serves the teams that carry regulatory duties day to day: compliance, risk, legal, and internal audit, alongside business and operations staff who own controls or reporting. Content adapts to each cohort's role and experience, so every team practices the workflows it owns.
Keep every obligation owned, evidenced, and current
Compliance teams own the obligation register and the control framework. This program gives them tools to map BOT and SEC duties, test control design, and keep evidence current for examinations.
Workflow friction
- Obligations spread across products with no single register
- Control evidence scattered before examinations
- Regulatory changes arriving faster than policy updates
How the program helps
- A living obligation register mapped to owners
- Control matrices that survive examiner walkthroughs
- Filing calendars that prevent missed deadlines
Practice use cases
- Obligation register build
- Control matrix lab
- Evidence pack drill
- Filing calendar setup
Link compliance risk to controls that hold up
Risk teams assess compliance risk and challenge control effectiveness. They practice risk assessment techniques, control testing, and issue tracking tied to regulatory expectations.
Workflow friction
- Compliance risk rated without evidence behind it
- Control testing that misses design gaps
- Issues reopened because remediation was not verified
How the program helps
- Risk assessments grounded in real obligations
- Control tests that expose design weaknesses
- Issue tracking that proves closure to examiners
Practice use cases
- Risk assessment lab
- Control testing drill
- Issue tracking setup
Turn regulatory text into workable policy
Legal teams interpret regulatory expectations and draft the policies that carry them. They practice converting supervisory guidance into clear procedures, disclosure language, and change logs.
Workflow friction
- Supervisory text that is hard to operationalize
- Policies that lag behind regulatory change
- Disclosure wording reviewed under time pressure
How the program helps
- Policies written from regulatory expectations
- Change logs that keep documents current
- Disclosure reviews with a repeatable method
Practice use cases
- Policy drafting lab
- Disclosure review drill
- Change log build
Test compliance the way examiners do
Internal audit teams provide independent assurance over compliance. They practice examination-style walkthroughs, finding write-ups, and remediation verification using the program's labs.
Workflow friction
- Audit programs that do not mirror examinations
- Findings written without clear criteria
- Remediation closed without verification evidence
How the program helps
- Examination-style testing techniques
- Findings tied to criteria and evidence
- Verification steps that confirm closure
Practice use cases
- Walkthrough practice
- Finding write-up lab
- Remediation test
Content adapts to each cohort's licenses, products, and examination history so every team practices the workflows it owns.
Prerequisites: This program benefits compliance, risk, legal, and audit professionals most, along with business staff who own regulatory controls. Familiarity with your firm's licenses and products helps but is not required, and no prior examination experience is needed. Each cohort's labs adapt to its tools, products, and regulatory context.
Compliance Analyst to Regulatory Program Owner
Tracks how compliance professionals progress from basic obligation mapping to advanced program ownership across the program's learn, practice, and apply phases.
A program that grows with compliance careers, from mapping first obligations to leading examination-ready programs.
Mixed cohort, or several teams at once?
We can tailor the training to different teams, roles, and experience levels within the same program.
Certificate of Training Completion.
On successful completion, employees receive an Edstellar course completion certificate, recognizing their commitment to ongoing learning and professional development. It validates the skills they have built and motivates them to keep growing and contribute to organizational success.
Earned, not attended. Awarded on completion of all hands-on labs and the capstone project.
Training Delivery Modes: Virtual, Onsite and Hybrid
Choose the delivery format that fits your team: hybrid, onsite, or live virtual. Every format is instructor-led, includes guided labs in each module, and is tailored to your licenses and regulators.
Hybrid Training
The recommended format for this program: live instructor-led sessions combined with guided hands-on labs, delivered across virtual and onsite settings to fit your team's schedule.
- Live instruction paired with guided labs
- Mix of virtual and onsite sessions
- Same curriculum in every format
- Scheduled around your team's calendar
Onsite Training
The instructor delivers every session and lab at your office. Your team practices with its own licenses, policies, and filing calendars in a familiar setting.
- Instructor at your office
- Labs use your own policies
- Cohort learns together
- Minimal travel disruption
Live Virtual Training
Live virtual sessions over Zoom or Teams with the same curriculum, labs, and assessments as onsite delivery. Cohorts join from any location with full instructor support.
- Live sessions over Zoom or Teams
- Same labs and assessments
- Join from any location
- Full instructor support
Need a training format that works for your team?
Full days, half days across weeks, or split by module. Tell us the delivery window and we schedule the cohort around it.
Frequently Asked Questions
Share your licenses, team size, and preferred schedule through the lead form. We respond with a tailored training plan and a per-batch quote, usually within one business day.
Yes. A short discovery call helps us map your licenses, products, and regulators to the curriculum before we finalize the training plan.
Yes. Live virtual sessions run instructor-led over Zoom or Teams with guided labs, the same curriculum as onsite and hybrid formats.
Yes. Onsite delivery brings the instructor and all lab materials to your office, scheduled around your team's calendar.
The program runs 27 hours across 7 modules, typically delivered over four days. Scheduling stays flexible to fit your team's calendar.
Question not answered here?
Put it in the request. A training specialist answers it directly, within one business day.
Where this Training Fits in Your Team's learning path.
Thai financial firms answer to the Bank of Thailand for banking and the SEC for capital markets. Your team frames enterprise risk first, then this course covers both regulators. The path continues into conduct risk and operational resilience to round out your Thai regulatory coverage.
Why Choose Edstellar as Your Bank of Thailand and SEC Regulatory Compliance Corporate Training Provider
Edstellar is a training provider for teams that need regulatory capability, not just awareness. With 5,000+ certified trainers and 2,000+ courses, we deliver this program as a partner in your compliance journey: tailored content, practitioner instructors, and measurable outcomes.
EXPERT TRAINERS
YEARS DELIVERING
ORGANIZATIONS TRAINED
CERTIFIED
Tailored
Curriculum mapped to your licenses, products, regulators, and examination history.
Proven Methodology
Diagnose, standardize, practice, measure, and scale: one capability model for every cohort.
Practice-Based Learning
Guided labs in every module: registers, matrices, checklists, and evidence packs.
Expert Trainers
Practitioners from regulated financial firms lead every session and lab.
Global Scale
One standard delivered across entities, branches, and business lines.
Measurable Outcomes
Pre and post checks plus lab reviews show regulatory readiness gains.
Coordinate Thai Financial Compliance Obligations, Monitoring, and Examination Responses
Our Bank of Thailand and SEC training follows obligations from licenses and products into calendars, controls, and supporting records. Participants review disclosures, develop monitoring workflows, and track regulatory changes before a mock examination. The final review emphasizes clear ownership and evidence that connects a requirement with the way the organization addresses it.
- Step 01
Consult
We review your firm’s licenses, products, and control responsibilities, identifying learning needs in BOT reporting, SEC disclosures, monitoring, change tracking, and examination responses.
- Step 02
Plan
We map supervisory mandates before licensing and reporting exercises, disclosure review, control frameworks, and monitoring workflows, culminating in the mock supervisory examination.
- Step 03
Align
We bring business control owners together with compliance, legal, risk, and audit participants, calibrating regulatory explanations to their familiarity with Thailand’s financial supervision.
- Step 04
Customize
We tailor a fictional firm’s obligations, customer communications, and alert cases to relevant products, giving participants practical inputs for calendars and control matrices.
- Step 05
Execute
Participants build reporting and disclosure checklists, triage alerts, and assemble examination records with feedback on ownership, regulatory-change tracking, and gaps in evidence.
- Step 06
Evaluate
We assess the examination response for accurate obligation mapping, workable calendars, supported control findings, and a remediation plan linked to monitoring and change records.
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Needs analysis, gap identification, and a training roadmap.
→L&D consulting
Learning strategy, content, technology and ROI measurement.
→OD consulting
Org design, succession planning and cultural change.
→Managed training services
Training outsourcing, vendor management, logistics and administration.
→Coaching solutions
Executive and manager coaching that keeps skills in use.
Start an RFP shaped to your needs.
Answer three quick questions about team size, scope, and how often you need the program run, then send the request from the last step. Everything you choose travels with it, so you only fill this in once.
How many team members need training?
Bank of Thailand & SEC Regulatory Compliance Corporate Training Training Packages & Pricing
Where L&D holds an annual budget, license packages price the whole year at once instead of raising a purchase order per workshop. Hours and licenses are pooled across teams, programs and locations, so unused capacity is not stranded in one department.
Starter
120
trainee licenses64 hours of group training
Tailored for SMBs
Growth
320
trainee licenses160 hours of group training
Ideal for growing SMBs
Enterprise
800
trainee licenses400 hours of group training
Designed for large corporations
Custom
Unlimited
trainee licensesDuration set by the rollout
Multi-region and multi-year
Training Packages & Pricing
Choose the training format that works for your team. Pricing is customized based on your requirements, cohort size, and delivery needs.
Request Bank of Thailand and SEC Regulatory Compliance Training for Your Team
Share your licenses, team size, and schedule. We respond with a tailored training plan, batch options, and availability for a discovery call.