rapid technological developments and increasingly complex financial behaviors, the SEC, together with relevant agencies and the private sector, recognizes the need to further strengthen and broaden KYC
later date.** Suspension of dealing means the suspension of subscriptions and redemptions of mutual fund units by an asset management company in the event of unforeseeable circumstances pursuant to Clause
their equity securities outside the issuer’s home jurisdiction. With this strong collaboration, it is expected that a corporation from Cambodia would become the first foreign company listed on the
rights respect as well as the IOD’s vision to help strengthen efficiency of corporate board performance. Having female representation in the corporate boards will bring about diversity at board level
Bangkok, April 9, 2014 ? The SEC and the Securities and Exchange Commission of Cambodia (SECC) entered into a Memorandum of Understanding (MoU) to strengthen cooperation in providing assistance to
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks, insurance companies and investment unit brokers. Under the theme, "Together Towards Tomorrow," the event aimed to foster stronger relationships, exchange experiences, and share knowledge on regulatory guidelines in the investment management industry. This initiative seeks to enhance collaboration, benefit...
Memorandum of Understanding (MOU) to strengthen mutual collaboration in capital market oversight. This collaboration aims to improve regulatory efficiency within each organization’s legal framework, creating
In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT audit reports to be more appropriate for the risk level of small business operators and low-risk op...
strengthen investor confidence in the Thai capital market. The signing ceremony was presided over by Deputy Prime Minister and Minister of Finance, Mr. Pichai Chunhavajira, as an honorary witness, together
AMLO Chairman Chatchai Phromlert and AMLO Secretary-General Theppasu Bavornchotidara emphasized AMLO's pivotal role in capital market oversight as a regulator of SET's securities member companies designated to report various transactions and as an enforcement agency against predicate offenses in the capital market. For cases involving violations of the Securities and Exchange Act, including stock manipulation and insider trading, AMLO will work closely with the SEC, which directly regulates thes...