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Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business
As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive remuneration, financial disclosure, the behaviour of institutional investors, boardroom practic...
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
The SEC Strategic Plan 2024–2026 prioritizes the strengthening of Thai capital market trust and highlighting the critical significance of investor confidence in cultivating a robust capital market that serves as a channel for fundraising of businesses and investment for investors. Ultimately, the goal is to achieve sustainable development, reduce inequalities. Recognizing the importance of complete, transparent, and timely IPO information for investors’ informed decision-making, the SEC aims to...
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the