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
time in order to have cross-regional discussion that serves the objective of this forum. The uncertainties caused by the pandemic have emphasized the importance of the forum as a venue for gathering
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
program. The primary objective is to empower trainers with comprehensive knowledge, addressing the specific financial challenges of three target groups: (1) individuals with debts, (2) individuals
> The SEC Office's organization structure Our Structure SHARE : Detail Content The SEC Office's o rganization structure The SEC Office’s primary role is to implement the resolutions and policies set
foreign companies seeking a primary listing* and a secondary listing.** The amended regulations have been published in the Government Gazette and have become effective since 1 February 2023
ThaiBMA executive team, on 3 November 2023 at the SEC Building. The meeting was convened with the primary objective of fostering collaboration in the development and enhancement of standards related to the