Bangkok, 6 January 2021 – This is with reference to the Cabinet’s resolution on 29 December 2020, approving additional public holidays and deferring the substitution holiday for Chulalongkorn Day
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
(UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1
The SEC has reviewed the existing criteria governing liquidity risk management tools for mutual funds and has also studied regulatory approaches adopted in other jurisdictions. The SEC is of the view
The SEC has revised the definition of Qualified Subordinated Debt to be excluded from the total liabilities for the calculation of net capital of business operators, viewing that the debt instruments
." The lecture aimed to enhance understanding of the importance of ESG, corporate governance for sustainability, and the role of the capital market in national development, delivered to the attendance of
affected and may be left behind if there is no collaborative effort to address the issues from all sectors. Research by UNDP shows a decline in government budget for biodiversity management over the past
The evaluation of the legal effectiveness of the Emergency Decree is due under the Act on Legislative Drafting and Evaluation of Law B.E. 2562 (2019) (“the 2019 Act”), which requires that government agencies evaluate the effectiveness of a law at least every five years from the effective date of the law or every other periods as specified in the governing ministerial regulations or upon occurrence of other cases as specified in the 2019 Act.The SEC is therefore conducting this public hearing on...
The Securities and Exchange Commission (SEC) has convened a meeting with the Association of Investment Management Companies (AIMC) to discuss policy directions for developing asset management