Complex Type 2 Investment Consultant
Plain Investment Consultant
Bangkok, June 17, 2014 ? SEC urges securities and asset management companies to concretely consider supporting anti-corruption with disclosure of Anti-corruption Progress Indicator of listed companies in the research. Meanwhile, securities and asset management companies are also urged to become a role model for anti-corruption practices as the Indicator of each business operators will be publicized from 2016 onwards.Chalee Chantanayingyong, SEC Deputy Secretary-General, said following disclosure...
The 31st ASEAN Capital Markets Forum (ACMF) Meeting today in Phuket discussed the progress of ACMF initiatives on sustainability, connectivity and resilience. The initiative on developing a Roadmap for ASEAN Sustainable Capital Markets (Roadmap) was endorsed by the ASEAN Finance Ministers’ and Central Bank Governors’ Meeting (AFMGM) in April 2019. The Roadmap promotes a common vision and comprehensive direction towards an ecosystem for sustainable capital market development, as well as an ASEAN...
amendment will involve revision of certain outdated provisions on the prohibited characteristics of personnel in the securities and derivatives businesses that have been in use since 2005 as well as those of
such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility
activities, resulting in a repeal of a number of notifications previously issued by the SEC. As replacement, 109 new notifications are issued, adopting the governing notifications of which outdated provisions
changing and our CRA regulations are becoming outdated. This supervisory amendment will enhance CRA credibility, conflicts-of-interest management, and information disclosure and safekeeping. This would help