complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
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...
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...
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
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
improvement. Compared to the prior quarter, the figures edged higher in line with increased brokerage fees from securities business, bancassurance fees and management fees. NPLs to total loans edged up slightly
principles and changing advanced technologies. The proposed revisions would apply to future exchange, derivative clearing house, securities clearing house and securities depository with regard to improvement
of Frauds Whereas the audit committee, the independent directors and the executives of listed company play an important role in promoting good corporate governance, driving the improvement of financial
.............................................................................................................................................................. 15 3.3. Pathway 2: Relative Performance Improvement ................................................................................................................................................. 16
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC