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
firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
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...
work procedures, the amendment should be communicated to related persons and having a control system for compliance (4) There should be an improvement for work procedure where there are errors in an
should be an improvement for work procedure where there are errors in an operation with record of such error together with preventive measures 1.2 Operation system for fund member registry should comprise
in charge of audit manual and audit procedure improvement, as well as the amendment of relevant audit templates and forms to be more comprehensive and in line with the auditing standards. Subsequent ly
Arbitral Procedure Organized by the SEC Office (No. 2)
audit procedures to be in line with the auditing standards. The improvement process also involves communication with their personnel to ensure that such manual and procedures will be applied appropriately
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund