The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

Mr. Anek Yooyuen, Deputy Secretary-General of the SEC, said: “We have been on the case regarding the complaints against the ZipUp+ project of Zipmex Co., Ltd. So far, the SEC has enforced the law on the company and conducted consistent investigations as authorized by law. The enforcement under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) encompassed various aspects, including asset custody, information disclosure, and undertaking of other businesses in contravention of the g...

Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such

Even though the Thai financial system remains strong, with commercial banks holding healthy levels of capital and liquidity reserves, the liquidity stress and the resulting irregularity in the global financial market have begun to affect the Thai financial market. The Bank of Thailand (BOT) has alleviated the situation through government bond purchase program amounting more than 100 billion baht during 13-20 March 2020, and the reduction and cancelation of BOT bond issuance, while the Mon...

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

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology

| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents

under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in

, shall not apply to the applicant who has rectified the cause, work system, management structure and operating control, which has caused the applicant to have the characteristics under Clause 15/1 (1) or