checklist, climate scenario analysis and risk management application” โดยมีนางสาวอาชินี ปัทมะสุคนธ์ ผู้ช่วยเลขาธิการ ก.ล.ต. ร่วมกับ Mr. Andrew Beirne ที่ปรึกษาด้านเศรษฐกิจและแผนกพรอสเพอริตี้และผู้แทนถาวรสห
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
global financial market have begun to affect the Thai financial market. The Bank of Thailand (BOT) has alleviated the situation through government bond purchase program amounting more than 100 billion
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
operators to deal with Covid-19 situation. All of them confirm the readiness to provide services related to securities trading continuously and have business continuity plans in case of emergency. In
SEC Secretary-General Ruenvadee Suwanmongkol announced that SEC has issued a measure allowing asset management companies to borrow money or enter into a repurchase transaction agreement to better manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30 percent of the NAV at daily closing. This liquidity boosting option is valid until 30 April 2020, as...
AGM of unitholders of funds and REITs CMSB has granted a deadline extension to 30 June 2020 or four months from the end of the financial year, whichever comes later. If the situation persists, SEC