In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and
The enhancement of fund managers’ duty performance in accordance with I-Code** will be supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The Capital Market Development Fund (CMDF) renders financial support to this initiative. Morgan Stanley Capital International (MSCI), an international consultant, is commissioned to study and develop a data framework that is suitable for the context of Thailand and in line with international standards. The...
under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went
search for newly issued bonds and sort the results by the subscription date, the term length, the interest rate, and the name of issuer. In addition to the basic search function by the name of issuer
Prime Minister General Prayut Chan-o-cha. Established in 1966, UNDP Thailand Office plays a role in promoting national development and capability of Thai organizations to achieve the SDGs through various
Amnucksoradej, acting Director of the Division of Industrial Business Capability Development, Department of Industrial Promotion, presided over the seminar. SEC Deputy Secretary-General Sirivipa Supantanet
public and high net worth investors would have to be investment grade products only. This is primary quality screening of the bond issuers to check their capability of repaying obligations because such
promoting the country’s economic capability through technological and digital support. Meanwhile, the SEC performs duties in its full ability to continuously strengthen trust and confidence in the Thai
the SEC, in materiality. The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited