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
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...
Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required. (2) having a procedure for providing
Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required. (2) having a procedure for providing services to the service user by
with evidentiary documentation to the SEC Office within thirty days from the filing date of the application by following the procedure and method specified in the Licensing Manual for the Public unless
SEC Office within thirty days from the filing date of the application by following the procedure and method specified in the Licensing Manual for the Public unless the SEC Office accepts the request
, effective monitoring of management and be accountable to the company and its shareholders. Moreover, the board is also required to balance the different interests and classes of shareholders, and others. The
Arbitral Procedure Organized by the SEC Office (No. 2)
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund