Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The consultation paper is available until October 7, 2013The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2263-6311 or email address at rangrong@sec.or.th until October 7, 2013...
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
Exchange of Thailand did not cover the securities trading on August 16, 2004. Expectedly, if compilation of information is completed, the investigation result will be proposed to the SEC board meeting on
introduced and apply to the qualified DW issuers. In addition, the redundant information disclosed and signing requirement in the filing will be eliminated. SEC Secretary-General Vorapol Socatiyanurak said
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
conflicts of interest. The revised rules also protect the best interest of investors by prohibiting collection of redundant fees, prohibiting the exercise of the voting right of the invested funds
investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from
-debt securities, and guidelines for business operation of brokers by repealing redundant regulations to facilitate implementation; (6) Revising approval of rules and regulations of clearing houses