solicitation. For inquiries or tips on suspicious activities, please contact SEC Help center via SEC website or Hotline 1207. If any possible violations of law under supervision of other agencies are found
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
regional regulators on new challenges that could have an impact on the balance between effective supervision and financial innovation.The seminar took place in Bangkok during 22 - 26 August 2016.
supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors
Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the