assistance and capacity building to support SEC’s roadmap in establishing an ecosystem for fundraising and investment that will promote sustainable finance development._____________________
management process of mutual funds, the SEC encourages asset management companies to strengthen the efficiency of such process. This includes establishing a clear risk management policy and measures
protecting investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest
the Bankruptcy Act B.E. 2483 (1940). The second MOA is for cooperation in establishing an enterprise architecture. Both MOAs aim to promote efficiency and effectiveness of duty performance of both
exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed
Report/Form (Notification of Securities and Exchange Commission) Form 92-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary 23/07/2013
Establishing a Subsidiary 28/01/2021 08:36 Notification on Incorporation of New Subsidiary 29/07/2020 18:56 Notification on the Disposal of Assets of Subsidiary 04/06/2020 19:15 Notification on Resolution of the
& the dividend omissions 12/11/2021 17:16 Notification on Disposing of a Subsidiary 12/11/2021 17:14 Notification on Establishing a Subsidiary 28/01/2021 08:36 Notification on Incorporation of New
the PVD members as well as submit it to the SEC at least one business day before offering the new investment policy to the PVD fund committee. In case of establishing a new PVD, AMC is required