firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
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...
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and
similar to or in competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established
similar to or in competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established
Rules for Operation of Derivatives Exchange
Rules for Operation of Derivatives Clearing Houses
Outsourcing Function related to Business Operation to Third Party