Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies
SEC Secretary-General Ruenvadee Suwanmongkol said that since the regulations on details of mutual fund schemes supporting the establishment of SSF to invest mainly in listed securities took effect
Bangkok, 18 October 2016 ? The SEC is seeking public comments on the proposed rules concerning provision of securities and derivatives trading services with limited discretion according to clients
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
. the IOSCO, established in 1983, is the international body that brings together global securities regulators and is recognized as the global standard setter for the securities sector. The SEC has been
Organization of Securities Commission or IOSCO is the international body that brings together global securities regulators and is recognized as the global standard setter for the securities sector. IOSCO
securities businesses, dissemination of standard reference prices, acting as bond information center for both the primary and secondary markets, as well as posting news and investor alerts promptly. Moreover
Notification. Clause 11. For the purpose of rendering the securities companies to efficiently comply with the regulation prescribed in this Notifiaction with the same level of standard, the securities company
Notifiaction with the same level of standard, the securities company shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office
compliance indicating the applicable standard for its debt securities issuance. 2. Additional disclosure in the Registration Statement: The minimum disclosure must comply with the ICMA’s standard. More details