Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of

intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and

CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English

Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the

sectors convenience for issuing debt securities for fund mobilization while putting in place an appropriate mechanism for investor protection as debt securities is indeed an investment choice. Hence, the

SEC has plans to review the criteria relating to the report form of the securities and derivative  business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has  recently been revised.  In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...

Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators

Thai Knowledge for Capital Market - Private Information Protection การใช้คุกกี้​ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์  และ