SEC Search

Search

From : Home > Search > Search Results

Public Information System
SEC_News ( 164 )
Enforcement ( 59 )
Laws / Regulations ( 57 )
Sitemap
Law and Regulations ( 3 )
Enforcement ( 2 )
Documents
Adobe PDF ( 512 )
Microsoft Word ( 133 )
php ( 1 )

Did you mean? : procedurse , procedure

221 - 230 of 1,160 results

SEC public hearing on proposed subordinate regulations under the Emergency Decree on Special Purpose Juridic Persons for Securitization B.E. 2540 (1997)

procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9987

SEC public hearing on draft amendments to the ongoing capital requirement rules

covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6835

SEC and SET co-organized, together with other three parties, a seminar on “Class Action Lawsuit” for the interest of investors and the public

protection mandate, education is an SEC’s crucial tool. “This seminar on class action legal proceedings will enhance knowledge of investors and interested parties about steps and procedures of the lawsuit

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10308

SEC honored at "Thailand ICT Excellence Awards 2011-2012?

application helps raise awareness of the general public on financial planning for their future stability. Meanwhile, the SEC has never stopped improving relevant procedures to achieve higher efficiency in

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4634

SEC keeps close watch on announcement of FATF blacklist

guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4574

-- DRAFT Principles --

Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to

https://publish.sec.or.th/nrs/4110pe.doc

-- DRAFT Principles --

Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business

https://publish.sec.or.th/nrs/4110pe_r.pdf

Microsoft Word - STNYKhor 3_2550_final.doc

Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the

https://publish.sec.or.th/nrs/4110se.pdf

...

Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and

https://publish.sec.or.th/nrs/5690se.pdf

5294pe.doc

reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment

https://publish.sec.or.th/nrs/5294pe.doc