Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of m...
PHILLIP ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 16/04/2021 - 26/04/2021
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to have alternatives by using the capital market to accumulate wealth in the long run.SEC studied...
According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on 27 November 2020, “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to apply for an applicable license with SEC. In this regard, SEC adopts the regulations on busin...
views of regulator and regulated persons. Meanwhile, better communication will allow stakeholders to learn of purposes, objectives and benefits of the regulations which must also be responsive to their
ศ. ดร.พรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) กล่าวปาฐกถาพิเศษในหัวข้อ “The Right to a Clean, Healthy and Sustainable Environment: Redefining
Contents Page Executive Summary A 1. Overview of Operating Environment 1 1.1 Global and Thai Economy in the First Quarter of 2018 1 1.2 Banking Industry and Competition 2 1.3 Regulatory Changes 2 2. Risk
The COVID-19 crisis has an impact on waste increase in Thailand. From the report of the Pollution Control Department (PCD), Ministry of Natural Resources and Environment, it recently found that
well as regulatory burden. This would lead to more efficiency and clarity. We have also committed ourselves to promote best practices of environment, social and good governance as well as human rights in