Facebook page "Golden Market Structure" : Unlicensed securities and derivatives business (Disclosure Date : 02/04/2026)
Facebook page "Gold Structure Lab" : Unlicensed securities and derivatives business (Disclosure Date : 03/04/2026)
Facebook page "Golden Market Structure" : Unlicensed securities and derivatives business (Disclosure Date : 16/04/2026)
During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the
Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
, the multi-class structure offered by existing mutual funds must not prejudice the right of existing unit holders. Details of the proposed structure must be defined in the amended investment fund scheme
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In each group of companies, an affiliate acting as the central company is the one whichsets out policies and business directions for all affiliates and associated companies within that group of companies. The current rules require both the issuers as well as all affiliates that engage in the main bus...
derivatives business operators concerning the standards of business conduct, management structure, operating system and services they provide.In this connection, the SEC will revise the rules governing