In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
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, determination of investment policy, regular company performance monitoring, discussion with company management, exercise of voting right at shareholders? meeting and giving emphasis to reasons or necessity of
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industry-wide and regular cybersecurity drills are conducted to ensure effective risk management. In addition, the conference featured a panel discussion on the topic, “Perspectives on SEC Strategic
efficiency to the capital market, support the New Normal, increase competitiveness and strengthen the whole country's economy. Under the said cooperation, SEC will consider nominating qualified persons for the
, infrastructure funds, infrastructure trusts and real estate investment trusts (REIT).The proposed rules would require regular disclosure of the annual registration statement, annual report, financial statements as
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