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...
to invest in the instruments offered domestically or overseas, to the extent specified by investment limit. The regulations aim to widen both channels for banks to strengthen their capital and
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
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
scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in
- retail investors. The greater extent of offering to retail investors will not only widen investment alternatives, but also expand business opportunities for the mutual fund operators and propel integrated
same Act. As Paiboon agreed to enter the settlement procedure, the Settlement Committee therefore imposed a 6,028,563.75 baht fine on him.Vasant Thienhom, Deputy Secretary-General said, ?In cases where a
296 of the same Act. As Pantipa agreed to enter the settlement procedure, the Settlement Committee therefore imposed a fine on her in the amount of 500,000 baht.