their business, (2) ensure their business continuity, and (3) better address operational risk.Essentially, the draft amendments would allow intermediaries undertaking asset management business and
as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment management business operators to administer their investment with the best interests for the
commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment management business operators to administer their investment with the best interests of the
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
Waratchya Srimachand, SEC Deputy Secretary-General, stated “The SEC aims to support investors in achieving financial well-being, enhancing their knowledge and understanding, and providing easy
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
Bangkok, April 4, 2014 ? The SEC hosted the ?SEC for CEO Forum? to leverage private sector to tie sustainability to their business operation and prepare for mounting technology risk.Vorapol
Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In
investors must transfer their money into the accounts of securities firms. In addition, it was found that some solicitation deceived investors to transfer money into the securities firms? accounts by