In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
The ASEAN Capital Markets Forum (ACMF) welcomed the progress achieved by the ASEAN Green Bond Standards at its meeting today. Since its launch in November 2017, the ASEAN Green Bond Standards have gained encouraging traction and there have been three issuances from Malaysia and Singapore carrying the ASEAN Green Bond label. The first sovereign sukuk in ASEAN issued by Indonesia is aligned with the ASEAN Green Bond Standards.The progress of the ASEAN Green Bond Standards demonstrates the region's...
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
Bangkok, December 22, 2014 ? The SEC and Bank of Thailand together with 24 nations agree to further strengthening collaboration in financial education to promote financial inclusion and literacy
proposal Agree Disagree Do you agree with imposing an aggregate limit on total investments in ICOs by each retail investor in any 12-month period? Do you agree with setting the above aggregate limit at 3
measures that the SEC and the SET have revised to elevate the quality and good governance of listed companies. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and Dr. Pakorn Peetathawatchai, SET
follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In
greatly appreciate your participation in this public consultation. *** mailto:aunchisa@sec.or.th 11 Comments 1. Do you agree with the definition of “investment participation” to ensure no regulatory gap