business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so
Companies Association (TLCA), the Association of Investment Management Companies (AIMC), the Government Pension Fund (GPF) and the Thai Investors Association (TIA) jointly promote the right protection
the Thai capital market, (2) Scale up listed firms’ quality to enhance value through the Jump+ and Value Up Program, (3) Streamline IPO and foreign listing process to boost fundraising and
SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the
conduct of derivatives brokers as follows: 1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant
conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading
lessen regulatory burden and further relief for businesses. At present, the reliefs include:(1) Branches of securities companies affected by flood and unable to provide services are allowed to temporarily
allowed to outsource only to subsidiaries, audit firms, or financial institutions. For instance, outsourcing risk management and compliance will be allowed only to subsidiaries; while the fund investment
SEC has been supporting Thai firms in issuing Green Bond, Social Bond and Sustainability Bond. Over the past few years, international capital markets have developed SLB, a sustainable finance product