Type of securities : Common share | Effective Date : 06/05/2022 | Close Selling Date : 13/05/2022
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...
enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
Outsourcing Function related to Business Operation to Third Party
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas
cost over the long term, which will in turn help reduce costs within the economic system.. Within this context, KBank and K Companies accentuate enhancement of our business capabilities to achieve
ThaiBMA executive team, on 3 November 2023 at the SEC Building. The meeting was convened with the primary objective of fostering collaboration in the development and enhancement of standards related to the