การดูแลผู้ลงทุน ณ สำนักงาน ก.ล.ต. เมื่อวันที่ 18 พฤศจิกายน 2563 นอกจากนี้ ที่ประชุมยังมีการหารือเกี่ยวกับเสถียรภาพระบบการเงินในส่วนของ market-based finance ที่ IOSCO ดำเนินการร่วมกันกับ Financial
is designed to encourage and support capital market intermediaries to have a cyber resilience, as well as to prepare playbook for cybersecurity incidents, which is an important part of the
may affect investors. The SEC however will continue overseeing the testing of the system closely. The implementation of blockchain technology to support capital market processes under regulatory
Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information
emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed