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...
- region listed companies. At the global level, the SEC facilitated the opportunity for Thai intermediaries to sell the products in renowned markets; China, Japan and Korea, for example, while the
on intra- region listed companies. At the global level, the SEC facilitated the opportunity for Thai intermediaries to sell the products in renowned markets; China, Japan and Korea, for example, while
two regulators over the past two years and is expected to create more opportunity for Thai capital market to connect with world-renowned Japanese capital market. It would provide more investment choices
renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international
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
the winner will be a good example for other provident funds, and can also be used as a stimulant to the provident fund industry to become more renowned by the pubic. This contest holds three
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