requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
capital market system and will provide more up-to-date and practical framework. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
Bangkok, June 5, 2015 ? SEC Secretary-General talked strategy and vision, emphasizing on understanding business and improvement of ecosystem where regulations are practical and developed from the
/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This step ensures that the measure to be taken is appropriate, practical and respectful to
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
and be complied with in light of their specific circumstances. 38. The SEC may issue other circulars, frequently asked questions and other documents from time to time to provide practical guidance to
resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning capital market supervision is crucial and