investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from
in this case, the SEC has been given information support from the SET and full cooperation of the CIB through the ECD in the compilation of facts and evidence, a proactive and collaborative approach
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain
Guidelines for Establishment of Information Technology Systems
Guidelines on Establishment of Information Technology Systems
applicant personal information - foreign auditor (normal)
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
Rules in Detail on Establishment of Information Technology System
Rules in Detail on Establishment of Information Technology Systems
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the