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
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
system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and
rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
recent suspension of all Baht and cryptocurrency withdrawals. The e-form aims to further facilitate the affected investors’ submission of information and the SEC’s collection of clear and accurate facts
ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling
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
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
competitiveness in the international market; the collection criteria would be simplified in appropriate proportion to the business size and volume of each type of intermediaries. In any case, minimum and maximum