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
strategies for greater cooperation among South East Asian equity markets. The 40 attendances are mainly from the public sector including senior officials of ASEAN Secretariat, Ministries of Finance
. ?Instead of making groundless accusations, all authorities involved in the investigation should be rendering their cooperation in scrutinizing the case and clarifying all the facts. We would not mind being
On December 17, 2004, the SEC in cooperation with the Royal Thai Police (inquiry officials of Thonglor Metropolitan Police Station) conducted a raid at the Building No. 139, 6th Fl., Room 6B1 and 6B2
Bangkok, September 24, 2012 ? CFA Institute in cooperation with the SEC and CFA Society Thailand will host an international event ?Thailand Investment Conference? on 5th October, 2012 at Conrad
SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the regulatory mapping exercises whereby a common ground has been established on 3 January 2020 regarding mutual recognition of funds. At the preliminary stage, both parties agreed on cross-border offerings of funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to concl...
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC
Bangkok, February 10, 2014 ? Securities and Exchange Commission (SEC) discussed with the Thai Bankers? Association (TBA) and the Association of International Banks (AIB), on the commercial banks? roles to support their subsidiaries? overseas business expansion and the services of personal asset allocation as well as wealth advisory. SEC Secretary-General Vorapol Socatiyanurak said after the first 2014 semi-annual meeting with top executives of Thai and foreign commercial banks that the commer...