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
investment trust (REIT), to ensure accurate, clear and sufficient information for investors? investment decision.Chalee Chantanayingyong, SEC Deputy Secretary-General revealed that ?Recently, a number of
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
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
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
SEC Thailand, as the host of the 30th ASEAN Capital Markets Forum (ACMF) on 18 March 2019, and other ASEAN regulators endorsed the Roadmap on ASEAN Sustainable Capital Markets to provide clear
recent suspension of all Baht and cryptocurrency withdrawals. The e-form aims to further facilitate the affected investors’ submission of information and the SEC’s collection of clear and accurate facts
to ensure clear and equitable treatment of shareholders. The meeting was held at the SEC Building on 8 December 2023.
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a