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...
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
plant infrastructure funds to use the capital market to raise funds as the industry is important to national development. The move will bring the regulations into alignment with the government’s
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has issued regulations supporting fundraising in the capital market for emerging businesses such as SMEs and startups. Effective since 16 January 2022, the regulations allow relaxation and prevent excessive burdens by, for example, waiving the application filing and the appointment of financial advisor, and allow initial public offering (IPO), share listing and trading in a new secondary market, LiVe Exchange.” In this regard, the SEC...
Bangkok, May 15, 2014 ? The SEC in cooperation with audit regulators in ASEAN countries host the ASEAN Audit Regulators Group (AARG) Meeting on May 15-16, 2014 in Bangkok. Auditors from the world?s renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international accounting and auditing standards. The event aims to promote audit regulator and audit firm cooperati...
Bangkok, June 16, 2015 ? ASEAN audit regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the
SEC Secretary General Ruenvadee Suwanmongkol said that after SEC has initiated the “SEC Caravan to Provincial Areas” project in accordance with the capital market development plan which is in line with the National Strategy in the aspect of providing provincial people with the access to financial services and the capital market, including more understanding of SEC’s roles, in 2019 SEC plans to organize events in four provinces, i.e. Khon Kaen, Nakhon Si Thammarat, Udon Thani and Chiang Mai...