collaborative efforts to achieve effective operations that can overcome various obstacles and restore investors’ confidence. Additionally, the seminar communicated to listed companies the expectations
, for example, efficient records of conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing or changing of the content of the conversations, etc.; (3
Securities Companies and Derivatives Intermediaries (No.4) dated 9 February 2017 (effective on 16 February 2017). 3 Repealed by the Notification of the Office of the Securities and Exchange Commission No. Sor
คู่มือประชาชน effective Filing
, and promoting exercise of investors? rights. The SEC also aims to promote independent investment advisory business and develop a more efficient mechanism for dispute resolution and effective enforcement
a digital wallet management system to accommodate efficient custody of digital assets and keys* and ensure safety of clients’ assets. The regulations cover the following requirements: (1) Policy
Bangkok, January 21, 2014 ? The SEC revised rules governing provident fund investment for more clarity and flexibility in line with international standards. The new rules have become effective in
agencies evaluate the effectiveness of a law at least every five years from the effective date of the law or every other periods as specified in the governing ministerial regulations or upon occurrence of