qualification requirements intact and adjust the licensing fee structure to prevent overburdens to business operators.Essentially, this approach would allow an applicant to apply for a package of licenses at one
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, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
, and encouragement would be given to business operators to be able to adjust and expand their business. Accordingly, SEC will give priority to the participation of the business sector in giving
, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business operators and investors. As the capital market regulator, the SEC must adjust to these changes without
audit firm; (2) To relax the requirement on the number and nature of business whose financial statements must be given an opinion and affixed with the auditor’s signature, as well as to adjust the
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by