for self-regulation The ASCO was asked to submit its action plan for becoming a self-regulatory organization (SRO) for the SEC?s approval. The plan must emphasize the core objectives of self regulation
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนา Compliance Meeting หัวข้อ “Strengthen Self-Regulate กำกับดูแลตนเองอย่างเท่าทัน” ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลัก
Bangkok, September 1, 2014 ? The SEC is seeking public comment on amendments to the Securities and Exchange Act B.E. 2535 (1992) to support the establishment of self-regulatory organizations (SROs
2025. On this occasion, the SEC was among the government agencies honored with Privacy Self-Assessment Excellence Award with the highest score in the Privacy Maturity Model & Privacy Index project
แบบประเมินตนเอง (Self - Assessment Questionnaire หรือ SAQ) ด้านระบบงานสำหรับการลงทุนเพื่อบริษัทหลักทรัพย์
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.