The amendment to the regulations related to the provision of NVDR transaction services by securities companies aims to enhance clarity and serve the original intent of the introduction of NVDR to
(ก.ล.ต.) เข้าร่วมการประชุม OECD Corporate Governance Committee และงานครบรอบ 25 ปี G20/OECD Principles of Corporate Governance โดยในการประชุมได้มีการอภิปรายในประเด็นสำคัญ เช่น การร่างแนวทางด้านการกำกับ
Corporate Governance Committee meeting and the 25th Anniversary Celebration of the G20/OECD Principles of Corporate Governance. Several key topics were discussed such as the draft for Guidelines on
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
SEC Secretary-General Ruenvadee Suwanmongkol stated that the SEC Board Meeting No. 12/2564 held on 9 June 2021 had passed a resolution approving the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2564 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 11). After publication in the Government Gazette, the Notification has become effective from 11 June 2021 onwards without retrospective effect. Essentially, the Notification prescribes...
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนางพรอนงค์ บุษราตระกูล เลขาธิการ และ นางศิษฏศรี นาคะศิริ ผู้ช่วยเลขาธิการ เข้าร่วมการประชุม OECD Corporate Governance Committee ครั้ง