their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
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
professional training courses on a continuing basis, as stated in the SEC-approved curriculum of the Valuer Association of Thailand, to ensure sufficient self-development and knowledge improvement
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
-driven landscape and changing consumers? behaviors. Locally, a major driving force that is the aging society is having a stronger influence on the adjustment of products and services to generate sufficient
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
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
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