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The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of the key issues include competent personnel, professional code of conduct, effective risk managemen...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6096

CMSB - Torthor 31-2556 - branch office of intermediary -

CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English

https://publish.sec.or.th/nrs/6039se.pdf

Public hearing on revision to intermediary IT security regulations

Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and cloud computing to offer services.? The amendment to the governing regulations has taken into consid...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6161

SEC public hearing on revision to intermediary reporting rules

Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6480

SEC Thailand’s public hearing on revision to intermediary reporting rules

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=560

SEC Thailand’s Public Hearing on revision to the rules on adding equity intermediary license and private fund management license.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=620

SEC plans to revise the criteria of the report form for intermediary business operators to accommodate the new financial reporting standards

SEC has plans to review the criteria relating to the report form of the securities and derivative business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8396

SEC announces new licenses for equity intermediary and private fund management to promote competition and reduce costs of capital market business sector

Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8948

Mutual Fund Prospectus - ONE-POWER : ONE POWER ENERGY FUND

ONE ASSET MANAGEMENT LIMITED|Sector Fund | Offering Date : 16/02/2017 - 24/02/2017

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0016&PYR=2560

Company Profile - B.GRIMM POWER PUBLIC COMPANY LIMITED

Company Profile - B.GRIMM POWER PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:18 Company Profile B.GRIMM POWER PUBLIC COMPANY LIMITED

https://market.sec.or.th/public/idisc/en/companyprofile/listed/BGRIM