Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC Deputy Secretary-General Tipsuda Thavaramara revealed that SEC has launched an automated data distribution system, or SEC API, to enable easy access to SEC’s information or third party
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
Bangkok, September 25, 2015 ? The SEC aims to promote the use of technology to provide more access to the capital market for fund mobilizers and investors through crowdfunding and automated
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to
requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
. ____________________ * The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk