The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee
oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
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
SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development
The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in
are different from REIT regulations. For example, the real estate-backed ICO currently lacks a mechanism for monitoring and overseeing the management of assets and for protecting the interest of