Complex Type 3 Investment Consultant
SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
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
regulations that are not necessary or do not keep pace with situations or remain obstacles to livelihoods or engagement in occupations will be abolished or revised to lessen burdens on people. By doing so
Bangkok, October 2, 2015 The SEC has rolled out an initiative to enhance sustainability of the financial reporting ecosystem, which is paramount to the integrity and soundness of the Thai capital
Bangkok, February 9, 2016 ? The SEC is seeking public comments on draft amendments to several regulations governing provident fund (PVD) management to promote PVD as an effective savings chanel for employees. The revision aims at encouraging employees to save more, save longer, and save smart, to enjoy better quality of life after retirement.The proposed amendments would require that asset management companies comply with the following key regulations: 1) To provide several investment plans f...
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 variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring...