Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC

Guidelines, which cover the following key points:  (1) To reduce the submission frequency of IT audit reports suitable for the risk level of small business operators and low-risk business operators to every

related policies or guidelines in accordance with the Notification of the Securities and Exchange Commission concerning Rules in Detail on Establishment of Information Technology System as well as the

asset custody to institutional investors. Effectively, the proposed guidelines would level the playing field while maintaining an appropriate level of investor protection.In proposing these rules, the SEC

and guidelines for overseeing risk management and management of digital wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal

Bangkok, June 10, 2016 ? The SEC is seeking public comments on the proposed amendment to the rules governing disclosure of information in the Annual Registration Statement (Form 56-1), specifically

Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1

Bangkok, 25 October 2016 ? The SEC is seeking public comments on the draft rules concerning transfer of retirement mutual funds (RMF) and long-term equity funds (LTF) in case of fund dissolution to

Bangkok, November 5, 2015 ?The SEC is seeking public comments on a proposed amendment to the rules on material transactions and related party transactions to prevent excessive obligations on listed

overseas as well as in Thailand.  The revised rules cover guidelines for advertisement and publication, areas of permissible marketing activities in Thailand and instructions of benefits received from