On 24 June 2019, SEC Secretary-General Ruenvadee Suwanmongkol, Sirivipa Supantanet and Paralee Sukonthaman, Deputy Secretaries-General, and a group of SEC executives led the first caravan under the
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...
financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
of 430 million baht. As a consequence, KC was in default on the payment of 350 million baht on those bills of exchange (B/E) (SEC News No. 2/2018 dated Friday, 5 January 2018). The SEC’s further
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
regulations within 90 days of the effective date.______________________Remarks: Three related notifications have been made available on the SEC web site, as follows: (1) The Notification of the Capital Market
Assets Return on Equity (ROE) = Net Profit to average Total Equity Yours faithfully, (Mr. Hiroaki Sano) Managing Director
Numnonda, Deputy Governor Financial Institutions Stability, the BOT, and Ms. Jomkwan Kongsakul, Deputy Secretary-General, the SEC, the seminar included the presentation on “Getting to Know Taxonomy, A New