regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies and collective
ASEAN audit regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies
regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies and collective
raise public awareness and understanding in savings and investments and enable them to access the products suitable to their investment profile with a view to saving sufficient assets for their
SHARE : SEC supports asset management companies? competitiveness Monday 12 January 2015 | No. 5 / 2015 Bangkok, January 12, 2015 ? The SEC supports asset management companies to raise their
cover enforcement of investors’ rights. This regulation will effect from 1 May 2020. Presently, several companies are interested to raise fund through digital token offer to finance their investment in
out policy and supervised the SEC Office’s overall operation and implementation of the SEC Strategic Plan in line with the CMDMP and according to the set timeframe. In doing so, the SEC Board also gave
to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator