Securities Companies and Derivatives Intermediaries dated 6 September 2013, in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of
Director, Corporate Governance Department3. Mrs. Sittasri Nakasiri Director, Enterprise Risk Management Department4. Ms. Sarica Apiwatthakakul, Acting Director, Intermediaries Licensing and SME Financing
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
investors to invest in a diverse range of securities products. By requiring that all types of securities offering to high net worth investors be proceeded through intermediaries, the proposed revision would
consideration the supervisory costs, industry competitiveness, burdens to intermediaries, and simplified methods of fee calculation. The two draft notifications regarding the aforesaid matter are expected to come
supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their
Supervision Department, to be effective from 16 January 2020; 3. Mrs. Pattanaporn Tripipat, from Director of the Intermediaries Supervision Department to Director of the Enforcement Department 1, to be
the SEC since 1993, Tipsuda has extensive experience in market and intermediaries supervisions and development, research and strategic planning. Moreover, she has had prominent roles in Capital Market