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
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
this year.The CG Code offers the boards of directors, as the governing body of listed companies, guidelines for incorporating good corporate governance principles into business operation as deemed
, through effective enforcement, clear and applicable regulations to enhance competitiveness of all sectors.” Furthermore, the SEC chief aims for the regulatory body to create and deliver value propositions
technology; (2) Defining clear roles, responsibilities, and involvement of the board of directors, including the governance body, to ensure secure, effective, and efficient IT practices and usage in the
Understanding on Cooperation and Development of Capital Markets in the Mekong Sub-region. Meanwhile, Myanmar which is in the process of setting up capital market regulatory body will consider joining the MoU in
that would be beneficial to capital market business or consistent with its objectives upon permission from the SEC Board; and (3) Its governing body will consist of both ex-officio committee and
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the