SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf.
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Audit Firm’s record - Normal
Applicant’s personal record and audit firm’s record – fast track
limitation of right for only concerned person to access to the record. Propose to modify from “system” to “method” IT Club Approve with the comment of the company . · Propose to modify from “mandatory” to
Office’s comment o Providing a prevention measure for alteration of other record and limitation of right for only concerned person to access to the record. Propose to modify from “system” to “method” IT Club
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.