be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with (1) the changing IT usage in business practices, (2) the increasingly sophisticated technical approaches and mechanisms of cyber threats, (3) the revisions to preventive measures for addressing security pitfalls previously causing IT incidents in the capital market, and (4) the updated IT rules and g...
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
improved supervisory standards in many areas, including debts offerings, communicating expectations for securities business intermediaries to provide standard services for clients? best interest (putting
to understand the risks of bonds and up-to-date information before their investment, as well as to make information become easier to access. Therefore, SEC has improved the supervision guideline on
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 Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Details of the Declaration of Intent (Thai version only) are available at https://www.sec.or.th