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
firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
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...
of illegal practices in securities and derivatives markets. - enforcement authority and effectiveness: civil actions for major violations, and support of class action under The Civil Procedure Code
of illegal practices in securities and derivatives markets. - enforcement authority and effectiveness: civil actions for major violations, and support of class action under The Civil Procedure Code
Arbitral Procedure Organized by the SEC Office (No. 2)
ThaiBMA executive team, on 3 November 2023 at the SEC Building. The meeting was convened with the primary objective of fostering collaboration in the development and enhancement of standards related to the
inspection showed impressive progress, paving the way to the quality enhancement and increase the number of capital market auditors to accommodate the growth of Thai capital market. Tipsuda Thavaramara, SEC
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund