that they are truly used by the banks in charge to confirm unit subscription. In case of doubts, investors should contact the banks’ client service center or call SEC 24-Hour Public Service Center
to be insufficient for the provision of audit service to listed companies and potential fundraisers in the capital market that are expected to increase upon economic recovery. To address this issue
defaults of payment, for them to have sufficient information to proceed to the next procedures more quickly.SEC has also closely following up with the operation of credit rating agencies, as well as
and internationally-recognized standards. The proposed regulations would include additional disclosure requirements as well as issuers’ obligation to appoint an external review provider to provide
On October 27, 2022, the 37th ACMF Chairs’ Meeting, presided by the Securities and Exchange Regulator of Cambodia, agreed to have a virtual award ceremony to announce the results of the 2021 ASEAN CG
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
), led by Mr. Yarnsak Manomaiphiboon, Secretary-General, and Mrs. Patchanee Sinwattanacharoen, Chairperson of the Compliance Club, along with ASCO board members. The purpose of the meeting was to discuss
On 25 December 2023, the SEC issued a letter to NUSA’s Board of Directors regarding their resolution, passed on 7 December 2023, to sell the company’s six assets for a total amount exceeding 11
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
opening ceremony and gave a keynote address on the topic, “The Roles of the Capital Market and the National Economic Development 2021.” He also presented the ASEAN Corporate Governance Scorecard Awards to