The Securities and Exchange Commission (SEC), in collaboration with the United Nations Development Programme (UNDP), the Thai Listed Companies Association (TLCA), and the UN Global Compact Network
management companies. Additionally, the amendments would include revision to the submission period in alignment with that of mutual fund management companies.The SEC is therefore conducting this public
135 participants from 135 capital market organizations.Participating organizations included securities companies, asset management companies, mutual fund brokerage companies, investment advisory service
Thai Bankers’ Association (TBA), (4) the Thai Listed Companies Association (Thai LCA), (5) the mai Listed Company Association (maiA), (6) the Association of Thai Securities Companies (ASCO), (7) the
, driven by new business models that enable them to reach a mass market. Despite their technical expertise, these companies are unable to enter the market because of regulatory hurdles. Therefore
Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information
services as investment consultant and investment analyst and choosing products for investors. Moreover, providing research reports that cover ESG aspects of listed companies will urge listed companies to
must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
executives of listed companies in Thailand for the duration of the legal proceedings. Meanwhile, the managerial authority over POLAR’s assets was transferred to the receiver of the Legal Execution
monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code