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...
The 31st ASEAN Capital Markets Forum (ACMF) Meeting today in Phuket discussed the progress of ACMF initiatives on sustainability, connectivity and resilience. The initiative on developing a Roadmap for ASEAN Sustainable Capital Markets (Roadmap) was endorsed by the ASEAN Finance Ministers’ and Central Bank Governors’ Meeting (AFMGM) in April 2019. The Roadmap promotes a common vision and comprehensive direction towards an ecosystem for sustainable capital market development, as well as an ASEAN...
interested in Life-Path type of provident fund, which automatically changes its investment ratios as the employees become older. In the 2nd quarter of the year 2018, statistics show that 7 investment
contribute toward achieving resiliency of our financial markets and step forward on the path of greater integration, sustainable growth and inclusivity for all.” The participants raised 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
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
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