Bangkok--11 Sep--SEC
The SEC is seeking public comment on proposed revision to the rules of customer contact and service for licensed broker and derivatives business operators to consolidate the relevant requirements applicable to them for more concise and practicality. Under the proposed revision covers general customer contact and service rules, guidelines for derivatives and securities brokers as well as the rules governing securities borrowing and lending, supervising investment analysis and giving advice rules, submissions of clients’ transaction confirmations, service of high risk or complexed products, and onsite order submissions.
The consultation paper is available on 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
[email protected] until September 17, 2014.