, to attend an ESG training course in addition to the existing compulsory training courses on rules and regulations, ethics or relevant laws, to ensure sufficient knowledge and regular review thereof in
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, March 29, 2013 ? The SEC is seeking public comment on proposed rules on outsourcing in securities and derivatives businesses. The proposed revision aims to facilitate and increase the efficiency of business operations. The consultation paper is available until April 4, 2013.Business operators, securities and derivatives businesses, will be allowed to outsource activities directly relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing poli...
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...
believes that this kind of training course will help the business sector to seamlessly integrate human rights into their business operations. During the meeting, Assistant Professor Dr. Parina Srivanit
The Securities and Exchange Commission (SEC), in collaboration with the United Nations Development Programme (UNDP), co-organized a training session on “SDG Guidebook for Thai Listed Companies and
Training Program: “Regulation and Supervision of Crypto and Digital Asset Markets.” The seminar, organized by the International Organization of Securities Commissions (IOSCO), aimed to support key