The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
. 15 (B.E. 2543) promulgated under the Securities and Exchange Act B.E. 2535 shall be allowed to proceed with operation of securities business as licensed and shall, within 31st January B.E. 2545, pay
. 2543) promulgated under the Securities and Exchange Act B.E. 2535 shall be allowed to proceed with operation of securities business as licensed and shall, within 31st January B.E. 2545, pay the license
has ceased its normal business operation, the company shall proceed in compliance with the rules as specified in the provisions of Class 1 Transactions in Part 1 of Section 3 of the Notification of the
objection in writing within fifteen days from the date of receiving such notification, the custodian may proceed with changes of such operation system. In case where it is necessary to change the operation
Office in advance in writing. If the Office has no objection in writing within fifteen days from the date of receiving such notification, the custodian may proceed with changes of such operation system. In
storage of information concerning their business operation can proceed normally. Clause 28 Derivatives clearing houses shall establish rules or regulations which allow for exchange of information on
cannot function properly so that the management and storage of information concerning their business operation can proceed normally. Clause 18 Securities clearing houses and central securities depositories
Transfer Transaction, UE will cease its operation and proceed with dissolution and commence liquidation within the same fiscal year in which the entire business transfer will take place, or not later than