Bangkok, 17 August 2017 ? The SEC applauded 30 institutional investors and related agencies for announcing to adopt the Investment Governance Code (I Code).In February, the SEC Office teamed up with regulatory bodies and institutional investors to launch the I Code and invited investors to endorse it as a guideline for responsible investment management whereby environmental and social interest as well as good governance of the invested enterprises are taken into consideration apart from profit m...
business work systems. The SEC Board has passed a resolution approving the proposed amendments to the digital asset business licensing process and endorsing the proposed amendments to the regulations
on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
associated with digital assets. The SEC recommends that anyone interested in trading digital assets study information and all associated risks carefully and make sure that they are capable of accepting the
after the issuer has become a listed company. SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC always emphasizes the importance of information disclosure of listed companies to make sure that
pool of potential investors. In addition, we are sure that this MOU’s implementation will lead to a good model for the cooperation in the region and we are optimistic that capital markets in the region