สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนางสาวนภนวลพรรณ ภวสันต์ ผู้อำนวยการฝ่ายส่งเสริมเทคโนโลยีทางการเงิน ร่วมเสวนาหัวข้อ “What Roles does Regulator Play in Supporting Fintech
To enhance flexibility and accountability of asset management companies in undertaking custodian business, the SEC approved draft revised rules on custodian of private fund. The revisions are as follows: 1. Asset management companies are permitted to act as the custodian of their managed private funds that belong to institutional investors or have asset value exceeding one million baht (excluding provident fund). 2. Asset management companies wishing to act as the custodian must have liquid...
with international standards. The essences of the amendments are: (1) The Company?s independent directors shall constitute no less than one thirds of the board of directors and shall consist of at
Bangkok, February 4, 2010 ? The SEC is inviting public comment on the draft revision to the mutual fund regulations to allow establishment of gold funds to promote product variety and alternative investment in the local market. The proposed revision would allow establishment of two special types of mutual funds ? ?gold fund? (physical gold fund) which would invest directly in local gold bullions, and ?gold ETF? which would be listed on the Stock Exchange of Thailand (SET). In support of the est...
At the SEC Meets the Press session today, Secretary-General Pornanong Budsaratragoon shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken on a new role in a familiar organization and working environment, with the primary goal of leading the SEC as a regulatory agency that develops the capital market and supports economic growth. Under transparent and fair management in line with international standard good governance guidelines, we are...
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
Bangkok, July 12, 2012 - The SEC has commenced consultation period until July 24, 2012 on the proposed revisions of rules governing offer for sale of convertible securities, i.e., convertible
Bangkok, 1 November 2017 ? The SEC is seeking public comments on the draft rules governing initial public offerings (IPOs) to cornerstone investors to create greater opportunity for success of IPOs
Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1