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Bangkok, April 2, 2013 ? The SEC allows existing mutual funds to offer multiple classes of investment units to investors and allows classification of investment units by currency. SEC Secretary
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
Bangkok, 11 January 2024 – Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), revealed that during the SEC Board Meeting No. 1/2567 convened today, the
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this