In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
internationally-accepted standards. It is a pleasure that Thai listed companies are the majority recipients of the ASEAN Asset Class Award in ASEAN and that Thailand maintains the No. 1 for the 6th consecutive
On behalf of the Securities and Exchange Commission (SEC), Ms. Jomkwan Kongsakul (right), Deputy Secretary-General, accepted the Digital Government Award for the third consecutive year. The award
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
asset class among global investors. The result of ASEAN CG Scorecard 2014 assessment showed that Thailand could still hold the leading role and was ranked at the top for the third consecutive year
for property fund, infrastructure fund, REITs, and infrastructure trusts. The auditors must be rotated off after 7 cumulative years of service and must serve a cooling-off period for 5 consecutive
consecutive years, while the existing rotation period was 5 years and the existing cooling-off period was 2 years. The revision will be effective from 1 January 2019”.To mitigate impacts at the initial phase
baht; (4) the investment limit is set at no more than 1 million baht for each retail investor, equity and debenture combined, in 12 consecutive months, up from no more than 500,000 baht in 12
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In
underwriter to issue 4 consecutive quarterly research papers after the initial public offerings process to provide the public adequate and ongoing information for investment decision making. The SEC is seeking