SEC Secretary-General Ruenvadee Suwanmongkol gave an opening remarks and co-chaired the 5th EU-Asia Pacific Forum on Financial Regulation with Mr. Ugo Bassi, Director of Financial Markets, DG FISMA
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to
Bangkok, January 20, 2014 ? The SEC is seeking public comment on draft rules on cross-border offering of ASEAN collective investment schemes (ASEAN CIS) to retail investors. When compiled with non-retail offering rules already in force, the ASEAN CIS cross-border offering rules will be comprehensive and more user-friendly. The proposed drat rules have been developed under the ASEAN Capital Markets Forum (ACMF)?s implementation plan, the ASEAN CIS framework and the common standards concerning qu...
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and 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 management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยฝ่ายความเสี่ยงตลาดทุนและองค์กรและฝ่ายทรัพยากรบุคคล จัดการบรรยายเรื่อง “นโยบาย No Gift Policy และประมวลจริยธรรม” เพื่อให้ผู้บริหารและ
ASEAN Leaders Policy Initiative (YALPI) 2020 ซึ่งนิสิตคณะรัฐศาสตร์ จุฬาลงกรณ์มหาวิทยาลัย จัดขึ้นเพื่อเป็นเวทีสำหรับนักศึกษาระดับมหาวิทยาลัยในกลุ่มประเทศ ASEAN ในการแลกเปลี่ยนความคิดเห็น และร่วมกันเสนอ
; (3) SEC and SFC have agreed on technical assistance on green finance ecosystem whereby SFC will share its experience to support the environmental social governance (ESG) policy of the Thai capital