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
The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to
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
intermediary, who will conduct KYC and Suitability tests in order to protect investors.4. Funds investing in shares of SMEs and startups will be established. These funds will be administered and
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
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute