Bangkok, September 3, 2009 ? The SEC put three auditors ? (1) Tipsuda Chumnanvanichkul of KPMG Phoomchai Audit Ltd., (2) Prawit Wipusirikup of RSM Audit Services (Thailand) Ltd., and (3) Kesree
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
Bangkok, February 10, 2006 ? The SEC has put an investor contact in functioning as investment advisor on probation for providing investment advice on a website based on rumors and unverified news
Bangkok, February 13, 2012 - The SEC is keeping close watch on the blacklist to be announced next week by Financial Action Task Force on Money Laundering (FATF), revealed SEC Secretary-General
Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC therefore put her on one-year probation, effective from
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
. Carrie Lam, Chief Executive of Hong Kong Special Administrative Region (SAR) of the People’s Republic of China, on 29 November 2019. This cooperation aims to promote competitiveness of local intermediaries
At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took
additional costs and are obstacles to extend the fund size at the initial stage. Therefore, SEC has put forward the amendments to the regulations on the limitations on unitholding in mutual funds. The