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
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...
Bangkok, March 14, 2016 ? The SEC in cooperation with the Association of Investmeent Management Companies (AIMC) will jointly prepare Thailand: Institutional Investor Code as a guideline for
economies and emerging economies. To maintain that leadership, Thailand must ensure the effectiveness of the Thai Securities and Exchange Commission (SEC) and Bank of Thailand (BOT) and address raising the
Formax Thailand (Thailand) Co., Ltd. : Unlicensed securities and derivatives business (Disclosure Date : 06/03/2015)
According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval
SEC Secretary-General Pornanong Budsaratragoon said: “The SEC has issued 11 notifications containing regulations for establishing and managing Thailand ESG Funds. They have been published in the
Palmer & Turner (Thailand) Ltd MJD.IR.003/2561 28 February 2018 Subject : Clarification of the operating result for the year 2017 ended December 31, 2017 To : Director and Manager The Stock Exchange