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 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...
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for filing a lawsuit to a civil court currently under the process of legal execution SEC Act (the fifth amendment) Section 281/2 para.1 in conjunction with 89/7 Civil Action Dated 28/12/2018
amount of 97,185.00 Baht SEC Act (the fifth amendment) Section 297 para.1 Civil Action Dated 08/07/2022
conjunction with Section 83 of the Penal Code Civil Action Dated 17/06/2021