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...
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
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
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
2015 and 2016 were restated because fictitious revenue had been recorded. The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that
in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital
quality of audit firms and performance of individual auditors instead of solely focusing on audit fees. In the long run, a reliable quality control system would support auditors and their teams in providing