of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management
oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
market, including the supervision of securities settlement systems, is fundamentally sound, secure, efficient and reliable. They also recommended that the following identified deficiencies, mostly in the
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in
digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies
asset business operators who obtain a relevant license and provide custody for customers’ digital assets to establish a wallet management system and a key management system for digital wallet management
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in