branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
Accounting Professions (FAP), we have agreed to formulate a collaborative effort to enhance financial reporting quality to be in line with international standards and to promote more active roles of financial
the definition to be Crypto Assets** that are created using cryptography method in a decentralized ledger network (Distributed Ledger Technology – DLTs) or similar technology instead of being defined
issuers from both Cambodia and Thailand to make an offer or to list their equity securities outside the issuer’s home jurisdiction. The cross-border equity offering will help expand the issuers
During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism
an aim to study the root causes of such issues and propose possible solutions to the problem. To make it work, we need all stakeholders to cooperate. We encourage stakeholders in the financial
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If