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
SEC Secretary-General Ruenvadee Suwanmongkol said: “The auditing context has evolved significantly over time. The SEC thus revises the requirements on approval of auditors in the capital market specified in the SEC Office Notification No. Sor Shor. 39/2553 to be in line with the current situation. The amendments aim to facilitate high potential auditors’ entry into the capital market to sufficiently support capital market growth. Essentially, the amendments will (1) lower the requirement...
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...
the following details. In addition, such method and procedure shall be consistent with and suitable for each type of capital market products or services: (1) a procedure for preparing communication and
Arbitral Procedure Organized by the SEC Office (No. 2)
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar