their risk level in compliance with the governing rules.
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมสัมมนาออนไลน์หัวข้อ “In conversation with … The regulators” ในงาน Climate Risk Asia Week ซึ่งจัด
of Thailand Information Security Association Committee who shared with the participants to raise awareness on technology risk for their proper preparation.The SEC has promoted the importance of three
SEC is welcoming public comments on a drafted notifications of the approval for offering of newly issued shares and information disclosure, applying to issuers and listed companies, in accordance with the International Organization of Securities Commissions (IOSCO) standards and FSAP. Reexamining these regulations would help to further credibility of the Thai capital market and to build up confidence for both domestic and foreign investors. For the principle of the revision, the SEC had al...
that related parties are able to perform their respective duties to the fullest capacity. This is to support a well-balanced financial reporting ecosystem and enhance the quality of financial reports of
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...
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of