The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC conducted a public hearing on a proposed amendment to the regulations on custody of clients’ assets....
opportunities focus on benefiting vulnerable communities.The Thailand Map, which joins 19 other country SDG Investor Maps housed on the SDG Investor Platform, has been developed by deploying a vigorous research
investors. This is because institutional investors have the capacity to take care of themselves. However, the definitions of “institutional investor”* have been revised in accordance with the resolution of
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนาออนไลน์ “เรื่องลงทุน กับคนรุ่นใหม่” (Young Investor Day) ซึ่งเป็นส่วนหนึ่งของกิจกรรมในช่วงสัปดาห์รณรงค์การลงทุน World Investor
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to close the position of derivatives contract with SET50 underlying at-the-open (ATO) price as soon as the trading session began.* However, since the client sent the order after the trading had already begun, {A} could not execute the ATO order in time and decided to execute the order at the market price...
Presently, several companies are interested to raise fund through digital token offer to finance their investment in office buildings or condominiums which will later be rented for income shared to holders of digital tokens or real estate-backed initial coin offering (ICO). Meanwhile, the regulations have not yet extended to such fund raising method and a smart contract has not yet covered an enforcement of investors’ rights in some issues which are activities occurring outside blockchain...
supervision of subordinated perpetual bonds to strengthen investor protection and simultaneously develop the debt securities market. In this regard, such type of bond to be offered for sale to the general
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมบรรยายในหัวข้อ "UNGP & the Role of Institutional Investor" (หลักการชี้แนะว่าด้วยธุรกิจกับสิทธิมนุษย
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took