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...
companies and further clarify relevant criteria. The proposed changes include (1) the further clarification of the term, related party, (2) the adjustment of the calculation methods and the transaction size
companies and further clarify relevant criteria. The proposed changes include (1) the further clarification of the term, related party, (2) the adjustment of the calculation methods and the transaction size
December 2024 remains a business day for securities companies and derivatives business operators. This adjustment aligns with the holiday schedule of financial institutions and prevents undue cost burdens on
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
changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in
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