Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...
company’s interest to ensure they are disclosing in line with the framework.”Ruenvadee Suwanmongkol, Secretary-General of the Securities and Exchange Commission, Thailand, said: “The SEC is very pleased to
comprehensive database. Therefore, achieving this cooperation agreement is extremely important in the development of legal execution in cases in the interest of the state, the effective suppression of offenders
Bangkok, January 6, 2015 - The Securities and Exchange Commission, Thailand (SEC) and the National Institute of Development Administration (NIDA) signed a memorandum of understanding (MOU) to form ?Academic Alliance? project to develop knowledge management for public and private sectors as well as economic, social and capital market development. The project aims at creating quality graduates through a variety of academic projects. Vorapol Socatiyanurak, SEC Secretary-General said, "This MOU sign...
Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Bangkok, June 21, 2016 ? The SEC and the Stock Exchange of Thailand (SET), with support from the Office of the Judiciary, have recently co-organized a capital market seminar to discuss how class action* can be another legal option for protecting investors? interest.Guest lectured by Appeal Court Judge Pongdej Wanichkittikul to stakeholders from listed companies, the Thai Investors Association and the Association of Investment Management Companies among others, the seminar highlighted the princip...
SEC revealed that, under the situation of the outbreak of COVID-19 which has impacted the business operations, the financial positions and the performance of listed companies and security issuers, and the trading prices of securities of listed companies on the Stock Exchange of Thailand. SEC, therefore, encouraged every listed company and security issuer to disclose both positive and positive effects of COVID-19 on the company. This information could be disclosed via different channels,...
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The