in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well
objective and providing up-to-date information sufficient for risk analysis. The reporting requirements on those unused for supervising purpose will be eliminated while frequency of report submission will be
capital market system and will provide more up-to-date and practical framework. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of
) Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2) Reviewing regulations to be up-to-date and consistent with other regulations on other types
new clients during the account opening process. Hence, such information must be accurate, complete, up-to-date, and clearly separated from other information. In case of significant revisions/updates
regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities