สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เป็นเจ้าภาพและทำหน้าที่ประธานการประชุม Supervisory Directors’ Meeting และ Enforcement Directors’ Meeting ซึ่งจัดในรูปแบบ virtual meeting
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and...
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the
blocked from these platforms immediately to protect the public from further harm and loss. The Investment Scam Hotline initiative is part of the SEC’s continuing efforts as a participant in the
of lawsuit filed and prosecuted by the plaintiff who collectively represents a group of people who suffer damage from the same causes and wish to exercise legal right to protect own rights. For more
, on 15 March 2018, the Civil Court made a decision to void the resolution of the annual general shareholders? meeting held on 2 May 2017, which has consequently resulted in the cancellation of Mr
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business op...
ก.ล.ต. จัดงานสัมมนาสำหรับกรรมการของบริษัทหลักทรัพย์และผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้า ภายใต้หัวข้อ “Board of Directors Meeting: Promote culture and governance” ซึ่งนางปะราลี สุคนธมาน รอง
SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the second time Thailand has participated in FSAP voluntarily because it is important that the development of the Thai financial sector comply with international standards and be recognized in the global community. Also, the capital market is a key driver of the national financial system. The FSAP involved two main separate assessment areas, namely securities regulation reviewed under 37 IOSCO Objectives and Principles of Securities Reg...
SEC revealed that at the 7th ARFP Working Group meeting, the progress of opening a funds passport was discussed. The member countries that are ready to submit a request for approval for sale are