SEC is ready to cooperate and render support to the Teachers and Educational Personnel Debt Management Project under this MOU by contributing information, teamwork and speakers to provide knowledge

solicitation or providing services for clients, information disclosure, advisory service, information or report filing with the SEC, prevention and management of conflicts of interest, and services provided by

The Securities and Exchange Commission (SEC), in collaboration with the Information System Audit and Control Association – Bangkok Chapter (ISACA Bangkok Chapter), the Thailand Information Security

information to PVD members;          (2) To establish liquidity risk management policy for PVD: Requiring AMC to have liquidity risk management policy and tools (LMTs) for PVD, similar to the LMTs guidelines

investors, particularly asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a

According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the

jointly committing with dishonest intent by authorizing KC to issue bills of exchange (B/E) for sale to a mutual fund of Solaris Asset Management Co., Ltd. which caused the misappropriation of an amount

participating market operators), investors will be eligible to receive a promotional gift valued at 500 baht. Participating business operators are 22 investment management companies, 14 securities companies, 2

the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent