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
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
investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing sustainably in accordance with good corporate governance. In addition, both parties cooperated to build a
the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock
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 Thailand has organized an online training session on the topic, “The Supervision on Infrastructure Fund” to share knowledge related to supervision on infrastructure funds in Thailand with capital
under the business undertaking according to the Derivatives Act B.E. 2546 (2003) and are therefore not under the SEC?s supervision. The clarification came out from the discussion held with the Gold
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
Thai Treasury Stock × Home > กฎหมาย / กฎเกณฑ์ > สรุปกฎเกณฑ์ > การระดมทุน > ตราสารทุน > หุ้น