preventing investors to fall victims for fraudulent solicitations, as well as being a mean of elevating the protection for investors.”The public can use SEC Check First application to search information on
number was long-term bonds. In recent times, SEC has been revising and changing bond-related regulations to become stricter, increasing the protection of the investors by making it mandatory to provide
This collaboration aims to empower businesses with knowledge and tools for safeguarding their brand assets and intellectual property (IP) rights, for example, Brand Rights Protection and Meta
complaint system and making it available 24/7 as well as developing an investor protection search tool - SEC Check First App - to enable investors to check companies providing products or services in the
Waiver : Mr. Vorasit Pokachaiyapat | Application Date : 04/10/2018
The SEC has amended the regulations concerning supervision of personnel in capital market businesses by extending the renewal application submission period from September 1st to December 15th each
application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
, the SEC has launched the application fee reduction scheme to allow auditors affiliated with audit firms in the capital market to apply for approval as auditor in the capital market for the first time
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
sectors convenience for issuing debt securities for fund mobilization while putting in place an appropriate mechanism for investor protection as debt securities is indeed an investment choice. Hence, the