and guidelines for overseeing risk management and management of digital wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal

Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

Pecunia Asset Management : Unlicensed securities and derivatives business (Disclosure Date : 31/10/2022)

types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of

Some business operators wish to provide services of specific securities business, for example, brokerage,  dealing and underwriting of equity instruments or private fund management, but are unable to

investors, particularly asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a

Association (TISA), and the Institute of Internal Auditors, Thailand (IIAT), co-organized a panel discussion on cybersecurity for risk management and IT audit personnel of business operators in the capital

SEC Secretary-General Pornanong Budsaratragoon, along with the SEC Management Team, held the joint meeting with AIMC President Chavinda Hanratanakool and senior executives from 26 asset management

have the independent director review the work of the SKFM management from 2016 to 2018; and             (4)  neglecting the supervision of SKFM operation, causing deficiencies in many cases. For