new regulations come into force, further 345 reports* will be submitted in the same method. SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC aims to facilitate e-submission services
investors. This single form proposal would facilitate standardized filing of customer profiles and increase investors’ convenience. Based on the previous stakeholders consultation on the governing principles
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an investment account. In this regard, investors are usually requested to give the same information repeatedly when open a new account with different intermediaries. Such redundancy causes inconvenience and a burden to investors, which could develop into an obstacle for accessing investment services a...
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
Integration, and Credit Enhancement” ในงานอบรม “Enable ESG Bond Issuance 2025: Practical Approaches, Challenges, and Opportunities” ซึ่งสมาคมตลาดตราสารหนี้ไทย (ThaiBMA) ร่วมกับ ก.ล.ต. และกองทุนส่งเสริมการ
to promote, assist, advise, and educate public about legal matters. The Council, therefore, set up a Committee to provide legal assistance to public. It is the mission of Lawyers Council to provide
Repeal of Notification Concerning Approval for Auditors of Company Approved to Issue and Offer for Sale of Newly Issued Derivatives Warrant to Facilitate and Rehabilitate or Restructure Debts of the