Bangkok, 8 December 2023 – The Securities and Exchange Commission (SEC) has announced the appointment of the Deputy Secretary-General in charge of Corporate Communication Division to serve as the SEC
determines that FA independence will be impaired in cases where FA or commercial bank in the same conglomerate has granted a loan to any securities issuer or sponsor disposing asset into real estate investment
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
check and balance mechanism of the business operators. Accordingly, the business operators including those doing business in form of financial conglomerate are required the independent directors at least
and details in this case. It is available on the SEC website at the link: www.sec.or.th/zipmexform. Earlier, the SEC instructed Zipmex to arrange a communication service system for its clients and to
, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
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
งานแบบกลุ่มธุรกิจการเงิน (financial conglomerate) ต้องมีกรรมการอิสระอย่างน้อย 1 ใน 4 ของจำนวนกรรมการทั้งหมดของบริษัท ภายในวันที่ 1 มกราคม 2559 และผู้ประกอบธุรกิจรายใหม่ตั้งแต่วันที่ 1 มกราคม 2559 ต้อง