investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
principles of technology usage;(3) Allow fund managers or securities analysts to participate in fintech development/application processes;(4) Have a control and inspection system for algorithm
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
a representative of main operators said “The DIF Web Portal launched today is a digitalized service system for bond offerings in the primary market, from issuance, filing, subscription, payment and
investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing sustainably in accordance with good corporate governance. In addition, both parties cooperated to build a
Securities in jurisdictions which are signatories to the MOU, in order to foster ASEAN capital markets integration. Under the proposed Framework, the review process for a multi-jurisdiction offering of Equity
September, which approved the promotion of social enterprises to be able to raise funds for the development of communities, societies, and the environment.SEC will further collaborate with the OSEP in
their comments on key issues at the 2010 Asian Roundtable annual meeting in Shanghai, China and to provide written comments afterwards. A sec- ond draft of this Report was circulated for further comments