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...
complete information before making an investment decision.The revision includes (1) simplifying the language to be less technical in terms of legal and industry jargons, (2) enlarging the font for easier
Regional Growth Prospects: Enlarging Opportunities for Asset Management Companies.” More details on IOSCO APRC can be found at https://www.sec.or.th/EN/Pages/AboutUs/InternationalRelations.aspx
/InternationalRelations.aspx English (United States) InternationalRelations challenges for SME financing through capital market”, and “Capitalizing on Regional Growth Prospects: Enlarging Opportunities for Asset Management
”, and “Capitalizing on Regional Growth Prospects: Enlarging Opportunities for Asset Management Companies.” More details on IOSCO APRC can be found at https://www.sec.or.th/EN/Pages/AboutUs
“Capitalizing on Regional Growth Prospects: Enlarging Opportunities for Asset Management Companies.” More details on IOSCO APRC can be found at https://www.sec.or.th/EN/Pages/AboutUs/InternationalRelations.aspx