the competition, align and enhance the supervision of alike activities, and provide investors with proper protection. SEC therefore invites public to submit their comments on the proposed amendment
and fund voting Supervision of the Securities Exchange Enhancing competitiveness of the capital market Establishment of the Capital Market Development Fund (CMDF) Effectiveness, clarity and transparency
securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
channel as a tool to evade or contravene the governing law and regulations (regulatory arbitrage) on the undertaking of investment management business,* which prescribe stricter supervision. For example, it
prescribe stricter supervision. For example, it is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
: For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 Was this page helpful? Yes No Comment
Bangkok, May 30, 2014 ? The SEC is seeking public comment on revision of rules governing advertisement of all capital market products for more clarity and practicality. The revisions also address
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019
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