At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and giving advice or information on foreign currency denominated capital market products through Tha...
SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
the capital market. The proposed amendments aim to promote the efficiency of the audit firms in the capital market and their staff sufficiency to provide high-quality audit services to listed
Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of
ก.ล.ต. จัดสัมมนาเพื่อเตรียมความพร้อมในเรื่องความมั่นคงปลอดภัยทางไซเบอร์และการคุ้มครองข้อมูลส่วนบุคคล (Cyber Security & Data Privacy Protection) ให้กับกรรมการและผู้บริหารระดับสูงของบริษัทหลักทรัพย์
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from