complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
investment advice service. Tipsuda Thavaramara, SEC Deputy Secretary-General said that capital market regulators around the world are now embracing technological advancement to enhance efficiency and
market environment. While digital asset businesses are innovative and constantly related to technological advancement and financial innovation, SEC continues to promote the optimal use of digital assets
Bangkok, April 22, 2014 ? The SEC unveiled the Independent Audit Inspection Activities Report 2013 which reflected advancement of audit oversight in Thailand, underlined transparency in auditor
, requiring the company to consider the need for organizing mass gathering activities. Under the circumstances, the company has less income from training activities or seminars. Moreover, the six-month of
that it was in the process of gathering relevant documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15
that it was in the process of gathering relevant documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15