Bangkok, August 6, 2014 - The SEC, jointly with four leading business schools, organized ?1st SEC Working Papers Forum? where the Faculty of Commerce and Accountancy, Chulalongkorn University
Bangkok, June 18, 2015 ? The SEC and the School of Development Economics of National Institute of Development Administration (NIDA) co-organized ?Thai Equity Fund Insight? at the 5th SEC Working
-organized by the SEC and the FAP for the second consecutive year, the SEC has streamlined the work procedures and increased manpower to speed up the auditor approval process, resulting in significantly
companies concurrent with the 2013 AGM Check List Project so as to help promote listed companies? corporate governance. TIA has organized training courses to ensure the volunteer?s quality and ethics
personnel and the SEC staff. This is to enhance their work quality in line with the development of financial innovations and advancements in technology. We recently organized training programs with guest
records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to
) “analysis of securities investment” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the value of securities or the suitability
shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete
form of both paper and electronic data, is accurate, complete, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the