to investment advice and service solicitation. If it is found that solicitation activities are being conducted by unlicensed business operators or involve investment products not approved for sale

situation will not affect the assessment conducted on listed companies, asset management companies or REIT managers regarding this subject

number of customers and the investment amount of each client.   Following the public hearing on the regulatory sandbox amendment conducted earlier this year, which received favorable responses from most

& Transparency Assessment (ITA), which is conducted on governmental agencies.” Said Secretary-General Ruenvadee.  ______________________     

. The new digital platform also covers clearing and settlement, register of instrument holders, custody of instruments, and payment of interest or dividends.“The pilot project will be conducted on

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

Committee has conducted a public hearing in this matter to seek comments from state officials, stakeholders of respective agencies, service users and the public.  In this regard, SEC has drafted the SEC’s

awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the

diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in

increase investor confidence and strengthen the capital market stability. Valuers passing the examinations conducted by relevant associations since December 16, 2010 can submit the results to the SEC