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...
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
individual level: Authorities need to help households build immunity through financial and digital education so that all individuals have sufficient and long- 4 term savings for retirements and channels of
marginal part, which represents the dynamic behaviour of each individual marginal, and the copula part, which represents the joint dependence among those individual components. Specifically, the REITs
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages