aspect of ESG principles, from the areas of capital market products and issuers to intermediaries and investors. The SEC also encourages business sectors in the capital market to disclose ESG information

Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol

agents (natural persons); 4. Financial advisors, marketing agents of private funds/credit rating agencies for mutual funds; 5. Supervisors, custodians, marketing agents of private funds/credit rating

2025-03-09 4 Intermediaries & Professionals : Number of Companies and Professionals Classified by Type of Companies 2025-03-09 Foreign Investor No. Dataset name File Last updated 1 Value Classified by

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

Bangkok, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow

) Statistics (Dashboard) Enforcement Fundraising/Listed Companies Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code Investor Alert Investor Alert

’ decision making; (4) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5) These ICOs may lack trading liquidity and may not

derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident

and innovations to facilitate fast and convenient market access, more efficient cost management of existing and new intermediaries in fulfilling investors? demands, enhancing market supervisory