covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
protection mandate, education is an SEC’s crucial tool. “This seminar on class action legal proceedings will enhance knowledge of investors and interested parties about steps and procedures of the lawsuit
application helps raise awareness of the general public on financial planning for their future stability. Meanwhile, the SEC has never stopped improving relevant procedures to achieve higher efficiency in
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and
Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and procedures for settlement of disputes
(2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and procedures for settlement of disputes by arbitration
with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing and desisting unfair derivatives trading practices and trading abuse, the derivatives
dispute will be settled by means of arbitration organized by the SEC Office in accordance with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing