Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU l...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานแถลงแผนยุทธศาสตร์ ก.ล.ต. ปี 2564 – 2566 ภายใต้แนวคิด “Strengthening Resilient Future” โดยนายอาคม เติมพิทยาไพสิฐ รัฐมนตรีว่าการ
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงาน Virtual Conference Strengthening ESG Investment/Sustainable Investment under the COVID
The SEC Board and the SET Governors met on 3 August 2023 to discuss and exchange perspectives as well as viewpoints in relation to cooperative working process between the two organizations with an aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for reviews and revisions in going forward. In this connection, related supervisory policies and measures w...
The enhancement of fund managers’ duty performance in accordance with I-Code** will be supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The Capital Market Development Fund (CMDF) renders financial support to this initiative. Morgan Stanley Capital International (MSCI), an international consultant, is commissioned to study and develop a data framework that is suitable for the context of Thailand and in line with international standards. The...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนา หัวข้อ “Strengthening Good Corporate Governance by Audit Committee and Independent Director: Experiences from Fraud Cases
The Securities and Exchange Commission (SEC) places the utmost importance on the 2026 Integrity and Transparency Assessment (ITA) for government agencies. At the first meeting of the Transparency Task Force (Meeting No. 1/2026), SEC Secretary-General Pornanong Budsaratragoon, serving as Chair of the Task Force, chaired the meeting with executives and relevant departments to review the outcomes of the 2025 ITA assessment. The meeting included a comprehensive analysis of scores and related...
Issues and Challenges” under the Strengthening Corporate Governance of Listed Companies Initiative. The seminar aimed to reinforce the role of financial advisors as gatekeepers in preparing companies for
Bangkok, April 4, 2013 ? The SEC will revise the rules determining the proportion of investment unit holdings in retail funds to allow greater dispersion of unit holdings, as well as to ensure no