SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
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...
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
Under the IOSCO guidelines, international regulatory agencies jointly promote and endorse the financial education and investor protection campaign during the first week of October each year. The
SEC Secretary-General Ruenvadee Suwanmongkol said: “The International Organization of Securities Commissions (IOSCO) has designated the World Investor Week 2019 during 30 September – 6 October to
World Investor Week is a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about the importance of investor education and protection. The
business operator when outsourcing its business-related function to a third party which will apply to all types of digital business operators.* In addition, SEC has amended other parts of regulations which
business operator when outsourcing its business-related function to a third party which will apply to all types of digital business operators.* In addition, SEC has amended other parts of regulations which
sectors convenience for issuing debt securities for fund mobilization while putting in place an appropriate mechanism for investor protection as debt securities is indeed an investment choice. Hence, the
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the