rules concerning application for securities registrar license. This is to ensure the continued enforceability of Section 206 and Section 222 of the SEA and to comply with Section 22 of the Act on
recent development in this area is the SEC Board’s approval of amendments to the Stock Exchange of Thailand (SET) regulations to improve the screening process for companies applying for SET listing and to
2020 – SEC is seeking public comments on proposed amendments to the rules governing digital asset businesses to ensure supervision suitable for the industry developments and the current market
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
, with the objectives to ensure that assistance on portfolio advisory and program trading is made available for investors, while the business operators may enhance the effectiveness of the service
landscape, the SEC has proposed the new rules that will give investors more investing tools in the form of portfolio advisory with execution and program trading while helping intermediaries to improve and
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
, protect and improve corporate reputations. Additionally, an effective record-keeping system should be maintained to ensure that the information disclosed to the clients and the public is accurate.
prosperity of economies, societies, people and the planet. Institutional Investors play a key role in this regard. They have important investment management responsibilities to ensure delivery of sustainable