Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the
collaboration in case further clarifications or investigations are required. The meeting was held on 24 January 2024 at the DSI Building. In the picture (from left to right):1. Ms. Pattanaporn Tripipat, SEC
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain
Bangkok, January 22, 2014 ? The SEC is seeking public comment on proposed revision to the rules of customer contact and service for all licensed business operators to standardize the relevant
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
The MOU with the AMLO aims to enhance collaboration for the benefit of preventing and suppressing money laundering with a focus on mutual sharing of information and agency-specific expertise. This
draft regulation on such technology for customer communication and service regarding securities business and futures contracts. The draft regulations would be imposed on both new and presently operating
on such technology for customer communication and service regarding securities and derivatives business. The draft regulations would be imposed on both existing and new operating business providers
know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open
On 15 August 2023, the Capital Market Supervisory Board Meeting No. 8/2023 passed a resolution approving the principles and draft regulations related to protection of derivatives business customer