Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
ปลอดภัยไซเบอร์และพ.ร.บ.คุ้มครองข้อมูลส่วนบุคคล” และ ดร.ปริญญา หอมอเนก (ที่ 5 จากขวาฯ) ให้เกียรติบรรยายในหัวข้อ Understand Unintended Consequence of Data Breaches and Cyber Attacks เพื่อให้ผู้เข้าร่วม
flexibility, aligning them with the feedback received while mitigating unintended consequences. The SEC is, therefore, seeking public comments on the drafted regulations*. The primary proposed regulations
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to
the proposed amendments to be more appropriate and mitigate unintended consequences for auditors and their clients, specifically businesses in the capital market. The SEC is therefore seeking public
requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk