For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
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Bangkok, January 4, 2012 ? The SEC announced today the Strategic Plan 2012 accentuating the capital market?s role as a key driver of economic growth and regional leadership in preparation for the
that should be suitable for each type of investors. She also mentioned the public hearing process that the SEC is undertaking to enhance regulatory rules and supervision of bond market to protect
“Navigating the Digital Asset Landscape: Development and Supervision of Digital Assets in the Region.” The event was organized by the Securities and Exchange Regulator of Cambodia (SERC) in collaboration with
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
market, including the supervision of securities settlement systems, is fundamentally sound, secure, efficient and reliable. They also recommended that the following identified deficiencies, mostly in the