Bangkok, April 9, 2014 ? The SEC and the Securities and Exchange Commission of Cambodia (SECC) entered into a Memorandum of Understanding (MoU) to strengthen cooperation in providing assistance to

take precaution to ensure that only the SEC approved investment consultants are allowed to give advice to the investors. Their compliance with the relevant rules must also be completely fulfilled; for

compliance with the governing rules and regulations and are confident they will have been ready before the PDPA becomes effective. Therefore, we are confident that this joint cooperation of the four

List of head of Compliance Please wait... List of head of Compliance   No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage

financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and

The management of two agencies discussed on enhancing cooperation between SEC Thailand and the SECC for capital markets development and supervision. This included encouraging listed companies from

cooperation between the two authorities on matters pertaining to regulations and policies in financial services in both markets as well as emerging trends.Mr. Ian Johnston, Chief Executive of the DFSA, said

Bangkok, July 21, 2014 ? The SEC announced the results of the 3rd Mekong Capital Markets Cooperation (MCMC) meeting in Pattaya City that all 5 member countries agreed on mutual benefits of this

against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back