-related risk information, to investors and stakeholders via the 56-1 One Report. The SEC has published the Guidelines as a manual that asset managers who manage mutual funds, private funds and provident
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value, including the mutual funds, private funds, and provident funds, is approximately 7.08 trillion Thai baht, or about 44 percent in comparison to the overall GDP of the country. Therefore, if there were any events leading to fluctuations in the investment management business, a significant impact could pro...
their risk level in compliance with the governing rules.
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมสัมมนาออนไลน์หัวข้อ “In conversation with … The regulators” ในงาน Climate Risk Asia Week ซึ่งจัด
, regulators, and credit rating agencies in various countries, also help to promote this climate risk disclosure into practical use. For example, by 2025, England has a plan to make all sectors in economic
of Thailand Information Security Association Committee who shared with the participants to raise awareness on technology risk for their proper preparation.The SEC has promoted the importance of three
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their