Bangkok, December 14, 2007 ? The SEC has clarified the methods for calculating the net asset value (NAV) of the share of PTT Public Company Limited (PTT) and the redemption procedure for mutual funds
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
offence under Section 241, which is the SEC?s standard procedure. The investigation has been underway but not yet completed.2. Front running ? Despite not being subject to the criteria of an offence under
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...
The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
Arbitral Procedure Organized by the SEC Office (No. 2)
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar