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...
A. RAP and Audit methodology A.0 Risk Assessment Process for Engagement Performance element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Engagement Performance
Arbitral Procedure Organized by the SEC Office (No. 2)
reserve? A3 Does the monitoring process required those performing the engagement or the engagement quality management review are not involved in inspecting the engagements? A4 Does the firm have monitoring
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
amendments contain the following provisions: 1. Cancel the approval application procedure, retain information disclosure in the shareholders' meeting notice, and require the opinion of an independent