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 order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
accessible, user-friendly, fast, and effective services.
The SEC Management introduces the new look of corporate website www.sec.or.th, featuring multi-device accessibility as well as more user-friendly experience for the public, investors and regulated
revised to be more interesting, concise and user-friendly. Rules on material and related party transactions have been amended in line with those of the regional markets. Promotion of shareholders? voting
-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets
, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
Investors Association (TIA)*. Retirement Checkup is a user-friendly tool for self-assessment of financial well-being to give investors and the public an overview of their readiness for retirement. Users can
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and