. The SEC has significantly improved the level of implementation of the IOSCO Principles, with 35 out of the total 37 areas being assessed as fully or broadly implemented. Such results reflect that the
engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market. The SEC?s audit inspection in 2013 covering eight audit firms indicated that
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated
significant rise to the world’s 3rd highest rank with 86 scores, from No. 15 with 75 scores in the preceding year. Such development was a result of the improvement in the Ease of Shareholder Suits Index
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
well as significant events after offering for sale of the aforesaid financial instruments, and would prescribe organization of annual meetings in a similar way as required of listed companies. This is to
establishing a clear timeframe for improved progress of the cooperation program. In this regard , The Management of SEC Thailand also expressed the good will to pay the courtesy visit to His Excellency Mr. Sou
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising