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...
Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
between the SECC and SEC Thailand to work on the process of implementing the cross-border equity offering and the issuance of DR and will also cover the issuing guidelines to provide guidance for issuers
suggestions on the website or via email: corporat@sec.or.th. The public hearing ends on 26 July 2023. ________________________Remarks: *Regulatory Guillotine is the process of reviewing and eliminating or
in case of complaints or issues on misconduct of directors or executives of listed companies under the Securities and Exchange Act B.E. 2535 (1992) to enhance flexibility of work process and
bond does not specify a redemption period and thus may require that investors hold such bond longer than general debt securities. Additionally, SEC aims to enhance the efficiency of the sale process
During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism
situations and fair treatment to all types of investors. The regulatory review also aims to promote and maintain stability and efficiency in securities trading. The SET will expedite the reviewing process of
association and the directors of TIA’s Shareholder Rights Protection Volunteer Club, and discussed the ways to enhance shareholder and investor rights protection in response to the changes in capital market