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, March 29, 2013 ? The SEC is seeking public comment on proposed rules on outsourcing in securities and derivatives businesses. The proposed revision aims to facilitate and increase the efficiency of business operations. The consultation paper is available until April 4, 2013.Business operators, securities and derivatives businesses, will be allowed to outsource activities directly relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing poli...
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...
The Securities and Exchange Commission (SEC) and the Association of Thai Securities Companies (ASCO) co-organized the SEC 2024 Supervision Approach and Risk Management Guideline seminar to foster
emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds
Bangkok, September 10, 2013 ? The Securities and Exchange Commission (SEC) and the Association of Investment Management Companies (AIMC) agree on introducing investment risk management guideline and