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
compliance profession. The joint meeting took place on 1 December 2023.
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...
profession. The audit profession includes, for example: audit firms, professional bodies and bodies or entities associated with the audit profession. Indicators of independence from the profession include: - A
profession and [iv] member punishment; (10) having mechanism and measure to punish member fairly, i.e. [i] having process and procedure clearly, [ii] making an opportunity for considered person to elucidate
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
Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards