The Securities and Exchange Commission (SEC) organized a training session for “New Generation Fund Managers with Environmental Awareness, Class 1” aimed at fostering the role of emerging fund

revised in the following conclusions:(1) “Digital asset advisers” and “digital asset fund managers” will be announced as the additional businesses. These businesses are categorized into two types

-related risk information, to investors and stakeholders via the 56-1 One Report. The SEC has published the Guidelines as a manual that asset managers who manage mutual funds, private funds and provident

digital asset business operators. Essentially, the proposed amendment would allow digital asset fund managers to apply for a quota to execute foreign exchange transactions with financial institutions in

. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for

unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectively, concealed transactions that were in contravention to the law and breached the investment policy

The Securities and Exchange Commission, Thailand (SEC) hosted the 10th Asia Pacific Regulators’ Dialogue on Market Surveillance (ARMS) 2025 with Deputy Secretary-General Mr. Thawatchai

นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมสัมมนาออนไลน์หัวข้อ “In conversation with … The regulators” ในงาน Climate Risk Asia Week ซึ่งจัด

Secretary-General Ruenvadee Suwanmongkol, Deputy Secretary-General Sirivipa Supantanet and the Management of the SEC welcomed H.E. Mr. Chhun Sambath, Deputy Director General of the Securities and Exchange Commission of Cambodia, and executives from the Cambodian Stock Exchange and securities companies during their visit to study the scope of work related to depository receipt (DR) and share views on international capital market collaboration, at the SEC Office on 9 July 2019.  

as regulatory cooperation in relation to the cross-border offering of eligible Hong Kong and Thai funds.In addition, the two regulators have agreed to expedite the approval process of a local feeder