in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures

engagement and drive the Thai capital market toward achieving the objectives. Key areas of the plan include enhancing the quality and fostering the growth of listed companies, searching potential high-growth

Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and

Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the

The SEC has collaborated with the DGA to integrate the SEC Check First, a mobile application for searching service providers in the capital market under the SEC’s supervision, including products

. Besides, investors were prone to searching for yields while securities companies and commercial banks acting as an intermediary for offering of such debt securities provided insufficient information for

Bangkok, 1 March 2019 ?  The SEC is seeking public comments on the proposed rules for data submission to the SEC Office by digital asset business operators and initial coin offering (ICO) portals

Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and

Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities

Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules concerning offshore offering of convertible debentures to boost efficiency and provide more accurate, clear and