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...
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
importantly, vaccines are now available in many countries. Such significant progress would not have been possible without the efforts and unity from all parties, in 2 particular the sacrifice from the front
particular emphasis on the alignment with the 20-Year National Strategy (2018- 2037), the 12th National Economic and Social Development Plan (2017 - 2021), including 23 master plans and the policy
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
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
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
Engagement.) An investor may have questions that can be answered by an explanation of current operations—for example, the company’s record of compliance with particular environmental regulations. In this case