stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the website of the SEC
the Bank of Thailand, the Office of Insurance Commission, and the SEC. - cooperation with foreign authorities under IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Co
the Bank of Thailand, the Office of Insurance Commission, and the SEC. - cooperation with foreign authorities under IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Co
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included