Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
further legal proceedings. Anyone who may have been affected because of his unlicensed securities business operation should give their accounts for the ECD Police?s further investigation and procecution by
License Check banner. Suspicious unlicensed securities business operation can be informed for further investigation at the SEC hotline 1207. Information contained in this news release is as of the
SEC to be replaced with other disclosure means, for example, disclosure of information via generally accessible channels of business operators or preparation and storage of information in a manner
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis; (2) Provision that will allow the association to invest in certain types of securities, provided that, such investment is made...
protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
principles to responsible in-process business operation in line with the Sustainable Development Goals (SDGs) of the United Nations.The current Initiative participants, both companies and organizations, will