Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
Bangkok, August 15, 2013 ? The SEC, the Thai Investors Association (TIA) and the Thai Listed Companies Association (TLCA) co-announced Thai listed companies? success in the 2013 Annual General Shareholders Meeting (AGM) Assessment with very high average score at 91.04 out of 100.? Most companies assessed with the scores higher than those of last year, reflecting continual corporate governance improvement in the Thai capital market.Among all companies listed on the Stock Exchange of Thailand (SET...
The Securities and Exchange Commission (SEC), led by Mrs. Pornanong Budsaratragoon, Secretary-General, and SEC executives, held a meeting with the Association of Investment Management Companies (AIMC), led by Mrs. Chavinda Hanratanakool, Chairperson of AIMC, and senior executives from 28 asset management companies. The discussion focused on policy guidelines for developing the investment management business as a mechanism for achieving Thailand's strategic goals. This includes enhancing the econ...
SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a
strengthening capacities of the organization to cope with change and achieve the SEC Mission.”Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said: “In laying out the SEC Strategic Plan 2021-2023, we took into
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
Maintenance of Capital of Investment Advisors and Derivatives Advisors
Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors
Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital