supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand
conservation. The SEC, as a capital market regulator, encourages the use of capital market products to support investments in projects that conserve or protect the environment, including the development of areas
) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval. If approached with a solicitation to invest in
As a capital market regulator, the SEC is Thailand’s first governmental agency to have become an official supporter of the Task Force on Climate-related Financial Disclosure (TCFD) since 30th
business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and
Regulator)? และหน่วยงานอิสระของประเทศในกลุ่มอาเซียนที่ทำหน้าที่กำกับดูแลผู้สอบบัญชี (ASEAN Audit Regulators Group)? แล้ว ยังส่งผลให้ตลาดทุนไทยได้รับผลประเมินเกี่ยวกับบรรษัทภิบาลในระดับดีขึ้น? เนื่องจากข้อมูล
: https://www.iosco2023thailand.com/________________________ About the SEC Thailand The Securities and Exchange Commission, Thailand is an independent regulator established according to the Securities and
”) ก็ใหบ้ริษทัต่างประเทศปฏิบติัตาม ขอ้ก าหนดของหน่วยงานก ากบัดูแลหลกั (“home regulator”) และตลาดหลกัทรัพยห์ลกั (“home exchange”) ต่อไป ทั้งน้ี สาระส าคญัของประกาศท่ีเก่ียวขอ้งมี ดงัน้ี 1. ประกาศคณะกรรม
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver the mutual fund’s accounts and related documents to the liquidator