นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในการประชุม “Expert group meeting on Public Debt and Sustainable Financing in Asia and the
the Anti-Money Laundering Act (No. 4) B.E. 2556 (2013) and the Counter-Terrorism Financing Act B.E. 2556 (2013).The promulgation of the above Acts demonstrates significant progress in meeting
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers? specifications or the SEC Notifications regarding management of mutual funds, private funds or provident funds. The adjusted procedures give asset management companies that commit immaterial offences time and opportunity to correct their mistakes or pay remedies in protection of investors? int...
Bangkok, January 11, 2010 ? The SEC is inviting public comments on the proposed revisions to investment regulations of mutual funds, private funds and provident funds to enhance practicality, reduce business obstacles, facilitate financial innovations, and conform to international standards. The proposed revisions cover the following areas: 1. Determination of eligible assets: The SEC will take a more principle-based approach in relation to regulations on eligible assets, with an emphasis on...
LM Investment Management Limited Website: www.LMaustralia.com : Unlicensed securities and derivatives business (Disclosure Date : 17/04/2013)
guidelines in the investment management industry. This initiative seeks to enhance collaboration, benefiting the sustainable and stable growth of the industry. Ms. Nataya Niyamanusorn, Assistant Secretary
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial