every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information
Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
(1) adjust the accounting of the change in the shareholding proportion in KAL as the acquisition of an asset or a group of assets according to the relevant financial reporting standards, and (2
causes a movement or change in the client’s assets under custody of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction
last business day of each month to the client within the fifth business day of the following month, except the month where no transaction causes a movement or change in the client’s assets under custody
, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business operators and investors. As the capital market regulator, the SEC must adjust to these changes without
Rules on Establishment of Information Technology Systems, with the following key points: (1) To adjust the frequency of submitting IT audit reports to be appropriate for the risk level of small
stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT
significant change in operating system, suitability test and client asset report.The Capital Market https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=5927 SEC revises regulations on business operation and