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...
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
the extent applicable to the offering procedure: 1. The time period during which the offer will be open, and where and to whom purchase or subscription applications shall be addressed. Describe whether
material misstatements, as well as determining whether they are properly implemented. Although the form and extent of documentation for this audit procedure are influenced by several factors such as the
group of targeted potential investors, the registration statement shall state the following information to the extent applicable to the offering procedure: 1. The time period during which the offer will
Arbitral Procedure Organized by the SEC Office (No. 2)
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
to invest in the instruments offered domestically or overseas, to the extent specified by investment limit. The regulations aim to widen both channels for banks to strengthen their capital and