The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

SEC Secretary-General Ruenvadee Suwanmongkol said that while everyone is practicing social distancing to control and mitigate the impacts of the Coronavirus disease (COVID-19), small-and medium

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในหัวข้อ “Advancing Policies and Enabling Environment” ของงาน WeEmpowerAsia Virtual Forum https://www.sec.or.th/TH/Pages/News_Detail.aspx

interest properly, and prioritize advancing the best interest of clients by identifying potential conflicts of interest in various areas such as the management structure, work system, control and risk

for advancing sustainability in capital markets. The meeting took place during 17–19 December 2024, in Ankara, Turkey.

the capital market, (2) Positioning the capital market as a driver of the digital economy, (3) Promoting a sustainable capital market and financial well-being, and (4) Advancing the Digital Securities

Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company

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