experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market regulator which is a member of International Organization of Securities Commissions (IOSCO) and
made only to institutional investor and high net worth investor with specified investment experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market
sectors. The amended rules specify that certain matters remain under the SEC supervision, including issuers? non-involvement in illegitimate businesses. The SEC, however, does not impose requirements
เครื่องมือให้ข้อมูลแก่ผู้ลงทุน (SEC Check Tools) อาทิ SEC Check First, SEC Fund Check, และ SEC Bond Check รวมทั้งผลงานด้านการส่งเสริมและกำกับดูแลด้านไซเบอร์ในภาคตลาดทุน (Cyber Risk Supervision in Capital
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
. The events served as venues for audit regulators in Asian and ASEAN countries to share knowledge and experiences on the supervision of auditors and financial reports and strengthen cooperation to build
Bangkok, April 10, 2015 - The SEC summarized the development and supervision on the capital market from late 2011 to early 2015 with achievements in lifting up the Thai capital market to match the
Bangkok, October 31, 2012 - The SEC is seeking public comment on regulation on outsourcing in securities and derivatives businesses. The proposed regulation aims to standardize the supervision on
and communication technologies to improve the internal systems from storing, processing, tracking and distributing information.?Technology is playing a bigger role in the SEC operation and supervision