Bangkok, February 13, 2012 ? The SEC is seeking public comments on draft revisions to the regulations governing approval for valuation companies and principal valuers for public purposes associated

suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order

Bangkok, 23 January 2018 ? The SEC is seeking public comments on the proposed amendments to the rules governing disclosure of initial public offering (IPO) information, whereby the issuer would

. Audio and/or video recordings, as the case may be, of an entire meeting shall be permitted, including the recording of computer traffic data generated by such recordings. A notice for a unitholders

that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among

sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could

As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to

from self-regulatory system under professional body to more stringent regulatory system under independent regulatory body.  Inevitably, supervision on auditor in Thai capital market must be developed in

statement of an offer for sale of securities in the category of units. “investor” means any person interested in investing in units. “statement” means any matter or fact, whether alphabetic, numeric, audio

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours