) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses
The ESG Product Platform is an information center for sustainability financial products, developed by the SEC to provide convenience to participants in the capital market, such as companies
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Bangkok, May 8, 2015 ?The SEC is seeking public comment on proposed rule revisions concerning registrar of provident fund (PVD), establishment and management of PVD in order to facilitate the
companies transparently or check thoroughly the fund?s assets before accepting them from the leaser. They also failed to provide evidence or contracts that would have proved the appropriateness of the
SEC has established relevant regulatory guidelines governing the establishment and management of Thai ESGX, and a total of 37 Thai ESGX from 19 asset management companies (AMCs) are seeking the SEC’s
Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business
Management1 Provide the names, nationality, addresses and functions of the issuer's directors and senior management or the person within the issuer who is responsible for the information contained in the
.............................................................. 17 4 5 I. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS A. Directors and Senior Management1 Provide the names, nationality, addresses and functions of the issuer's directors and senior
the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of