branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance
knowledge sharing session on “Development and Framework for Technology Risk Control,” lectured by SEC executives. The occasion included a discussion on supervisory guidelines for technology risk control by
MOU, the SEC and NIDA will jointly drive knowledge and curriculum development to enhance the quality of graduates to become workforce for public, private and capital market sectors. The collaboration
landscape, and endorsement of international standards. The SEC has also laid out the strategic plan for the next three years (2019-2021) focusing on the optimum use of technologies to enhance market
Bangkok, January 8, 2014 ? The SEC announced the strategic plan 2014-2016 and key initiatives to kick off in 2014 emphasizing continued five key strategies to enhance supervisory efficiency, sharpen
respond to investors? demands and enhance investors? protection. SEC Assistant Secretary-General Duangmon Chuengsatiansup said: "investment consultants are required to have their clients take a suitability
Bangkok, January 26, 2016 ? The SEC has revised several regulations concerning investment policies of mutual funds and provident funds (PVD) to enhance flexibility and compliance with international
The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide
“Navigating the Digital Asset Landscape: Development and Supervision of Digital Assets in the Region.” The event was organized by the Securities and Exchange Regulator of Cambodia (SERC) in collaboration with