SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
นางวรัชญา ศรีมาจันทร์ รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) (กลาง) และผู้บริหาร ก.ล.ต. เปิดงานสัมมนา “การดำเนินคดีแบบกลุ่ม (class action) กับการคุ้มครองสิทธิผู้
meet the urgent needs of decarbonising the global economy. Climate risk is investment risk. Now, much more urgent action is needed to align with a 1.5°C future. We are delighted to participate in the
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) แนะนำผู้ลงทุนที่ต้องการใช้สิทธิเรียกร้องให้ชดใช้ค่าเสียหายโดยการดำเนินคดีแบบกลุ่ม (Class Action)* สามารถดำเนินการตามขั้นตอน ดังนี้(1) รวม
The 33rd ASEAN Capital Markets Forum (ACMF) Chairs’ Meeting virtually held today in Hanoi endorsed the key priorities for its Action Plan 2021 – 2025 to realise the ACMF Vision 2025 of being an inter