Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
The Securities and Exchange Commission (SEC) has considered it appropriate to designate 2 June and 11 August 2025 as well as 2 January 2026 as additional special holidays for securities companies
attendance to join the meeting and vote at the Extraordinary General Meeting of Shareholders No. 1/2020. 3. Approval of significant changes in the objectives of using IPO funds in the event that there is a
natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately
, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately owns the account, or has significant interests
owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in
handling of complaints and disputes, which also consider protection of complainants; (2) designate a unit or personnel to be responsible for handling of complaints and disputes; (3) monitor and examine
system, (4) operational and IT management system, (5) database system, and (6) compliance system. Besides, derivatives agents must designate responsible officers to ensure compliance with all rules and
decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of mutual fund investment units must include mutual fund?s significant information for investor?s
significant rise to the world’s 3rd highest rank with 86 scores, from No. 15 with 75 scores in the preceding year. Such development was a result of the improvement in the Ease of Shareholder Suits Index