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...
’ sustainability disclosures through the 56-1 One Report and outlined future plans to elevate ESG reporting standards to align with international standards. These efforts aim to strengthen the competitiveness of
who found that the client?s account was used for securities trading while the client was sick and did not trade any securities. Although forbidden by the client, Kruawan continued trading securities
supporting the efforts to elevate the quality and governance of listed companies, including those undergoing backdoor listings and resuming trades. During the event, Mr. Paiboon Damrongwaree and Ms. Areerawan
of customer asset for https://publish.sec.or.th/nrs/3114pe.doc 8841pe.doc MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset
MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while
) 8841pe.doc MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while
aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while https
://publish.sec.or.th/nrs/7747p.doc 8841pe.doc MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the