Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The consultation paper is available until October 7, 2013The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2263-6311 or email address at rangrong@sec.or.th until October 7, 2013...
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain
Bangkok, March 9, 2011 - The SEC is to revise mutual fund disclosure documents. The revision will simplify mutual fund project, commitment between unitholders and asset management company as well as
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
Exchange of Thailand did not cover the securities trading on August 16, 2004. Expectedly, if compilation of information is completed, the investigation result will be proposed to the SEC board meeting on
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from
law, such as this Personal Data Protection Act B.E. 2562. In this regard, the examples, lessons, processes, and guidance on how to comply with the law should be published using the simplify and
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the