branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in

During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism

the Bankruptcy Act B.E. 2483 (1940). The second MOA is for cooperation in establishing an enterprise architecture. Both MOAs aim to promote efficiency and effectiveness of duty performance of both

joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by

improvement of audit quality, enhance the credibility of the financial reporting system in the Thai capital market, and strengthen the mechanism for investor protection. In addition, the proposed supervisory

supervision of subordinated perpetual bonds to strengthen investor protection and simultaneously develop the debt securities market. In this regard, such type of bond to be offered for sale to the general

The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...