The Securities and Exchange Commission (SEC) organized an annual cybersecurity workshop for directors in the capital market sector under the title, “Capital Market Cyber Leader 2024: Trust
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
Bangkok, April 8, 2014 ? The SEC requires all licensees of securities and derivatives businesses appoint independent directors at least one-fourth of the board members by January 1, 2016.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved revision of regulations on independent directors of licensed securities and derivatives business operators. The revised regulations require the said licensees appoint independent directors to perform...
Facebook Page ชื่อ Stock leader : Unlicensed securities and derivatives business (Disclosure Date : 23/01/2024)
established under other laws. The proposed revision includes the exemption of independent director rules for all licensed business operators, under the specified criteria. The qualifications of independent
Facebook Page ชื่อ Stock Market Leader : Unlicensed securities and derivatives business (Disclosure Date : 19/07/2024)
TISCO ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 03/06/2010 - 11/06/2010
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The criminal complaint was imposed on two former GGC director and executive, namely (1) Mr.Jirawat Nooritanon, Managing Director at the time of the offense (during 2014 – 2018), and (2) Mr.Wanlop