SEC Secretary-General Ruenvadee Suwanmongkol said that SEC and the related agencies had discussed the COVID-19 situation and acknowledged limitations on the AGM holding of listed companies. The meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform s...
to bringing prosperity and growth to Thai capital market and Kunming City in the future,? said Mr. Vorapol. Possible areas for collaboration were discussed including use of the Thai capital market as
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...
situations and fair treatment to all types of investors. The regulatory review also aims to promote and maintain stability and efficiency in securities trading. The SET will expedite the reviewing process of
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
? Continuing to increase board independence and effectivenessThe ROSC finds that Thailand obtained a score of 82.83 points from a possible total of 100, receiving the highest score in the disclosure and