Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
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
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors
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
SEC Secretary-General Pornanong Budsaratragoon said: “The SEC focuses on both the development of the digital asset market and the supervision of digital asset business operators. We consider the
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund
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