give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
The suspension was in connection to NMG’s submission of the financial statements for the year 2017, wherein the overstatement of revenue and accrued income in the financial statements for the year
' Association, the Association of International Banks, the Thai Financial Planners Association, the Thai Investors Association and the Thailand Securities Institute in standardizing suitability test for
securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company
securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company
Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E
2012 cooperative framework between SEC and CSSF in the exchange of information on fund management companies and mutual funds. Furthermore, CSSF has been pleased to support Thai funds’ unit
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** An investment consultant for complex
become a part of the SEC Team supporting the strategic development of the Thai capital market. Special consideration will be given to applicants planning to pursue studies in Data Analytics, Financial
In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common