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...
measures that the SEC and the SET have revised to elevate the quality and good governance of listed companies. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and Dr. Pakorn Peetathawatchai, SET
in one place. Consequently, the SEC will cease the calculation and disclosure of Turnover List on the SEC website. The last calculation date is July 10, 2015. The SEC has cooperated with the
asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
and/or digital tokens of which are liable to be approved by SEC. Therefore, investors are advised to be skeptical if being solicited to invest with DB Hold. SEC has notified DB Hold to cease any
investment plan in significant portion of common shares issued by Sammakorn Plc. (SAMCO). The transaction would turn the fate of {X1} Company amidst a crisis causing cease of its core business operation at
one month from the completion of the offering period. (2) The company may cease the offering of investment units for sale during the IPO period by notifying the SEC within seven days from the date of
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In