นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงาน“the UN Responsible Business and Human Rights Forum, Asia Pacific” ภายใต้หัวข้อ “Mandatory
) and organizations of capital market business operators. This aims at preparing Thai capital market?s infrastructure to be more responsive to global changes, enhance flexibility of supervisory structure
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their
nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
Bangkok, February 20, 2013 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against three unlicensed derivatives business operators, namely
. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms