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 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
leaders among the SEC staff and regulated agencies.”SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC’s objective is to supervise and develop the Thai capital market as the key platform for
South-East Asia's economy and aiding in its recovery from the pandemic. This initiative is in line with the Mekong-Australia Partnership's vision for an open, inclusive, secure and prosperous Mekong
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
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
, the SEC urged short-term debt issuers to secure a reserve fund to prevent liquidity issues. In this particular case, the company must clarify information to investors to prevent damage to the overall