Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
Bangkok, December 19, 2012 ? The SEC has encouraged listed firms to join e-Tax Invoice system to help reduce operational costs as well as the chances of fraud and corruption. The electronic system is
feasibility of supporting expenses for human resource development, investor base expansion and IT system development in order to raise the business operating standards which will be beneficial to the
system, (4) operational and IT management system, (5) database system, and (6) compliance system. Besides, derivatives agents must designate responsible officers to ensure compliance with all rules and
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
beneficial to the operation of SEC Caravan to Provincial Areas project driven by and with the collaboration of the province and local agencies concerned, and the major issues are concluded as follows
securities or investment units. “major shareholder” means a shareholder or a beneficial owner of shares in the amount more than 10% of the total number of voting rights of the applicant. For the purpose of the
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner