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
system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and
rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital
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
human resources management and development programmes to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff. Principle 1 | 2
ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling
and would be completed in the similar time periods. This caused work overload and shortage of skilled workers Q4/2018 and into Q1/2019, resulting on cost overrun. Discussion and Analysis of the Company
at a lower fee. This is a temporary measure to promote more entries of knowledgeable and skilled auditors into the capital market. Interested auditors are welcome to apply for approval as capital