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
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
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
know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open
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
and Presentation in Analyst Research Reports” for capital market professionals i.e., securities analysts and fund managers. CFA Institute contributes the Guidelines to incorporate ESG factors into their
outsourcing contract would have to incorporate a BCM plan therein as well.?? The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments
crucial to strengthen our ecosystem, wherein capital market professionals and related stakeholders support and drive together to incorporate sustainability into their strategies and business decisions. We