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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
Pursuant to the existing regulations that have been effective since 2004, listed companies are required to pay an annual fee for submission of the annual registration statement to the SEC. In this
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this
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
in various activity zones. To begin with, investment product zone introduces the capital market products including equities, debt securities, mutual funds, LTF/RMF, real estate investment trust (REIT
Bangkok, November 12, 2015 ? The SEC will continue its drive to promote financial literacy and investor education via the SEC Open Space multimedia exhibition at the SET in the City 2015.?This year we have decided to run the SEC Open Space theme to inspire investors and the general public to rethink their future, financial and otherwise, and hopefully to be able to crystalize their life goals as a starting point for mapping out a personal financial plan before taking the next steps toward inform...