Bangkok, February 13, 2012 ? The SEC is seeking public comments on draft revisions to the regulations governing approval for valuation companies and principal valuers for public purposes associated

suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order

unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.The SEC has been monitoring and observing events or exhibitions involving booth setups related

caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.   The SEC has been monitoring and observing events or exhibitions

sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could

duties to maintain the minimum net capital requirement by NC-1 method and failure to do so shall be subject to observing the following:    (1) Suspend all types of business operations until the minimum

As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to

from self-regulatory system under professional body to more stringent regulatory system under independent regulatory body.  Inevitably, supervision on auditor in Thai capital market must be developed in

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours

company. - Review the company’s compliance with private sector’s anti-corruption and certification programmes, including the Collective Action Coalition Against Corruption’s Self-Evaluation Tool. - Issue an