Outstanding Domestic Debt สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 09 August 2024 20:00 New Product Prospectus / Filing Sales Report Shelf Approval Outstanding Domestic Debt PP
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
SEC Secretary-General Pornanong Budsaratragoon said: “The SEC has issued 11 notifications containing regulations for establishing and managing Thailand ESG Funds. They have been published in the Government Gazette since 1 December 2023, officially allowing asset management companies to launch the fund right away. Initially, the SEC has received 22 applications for Thailand ESG Funds establishment from 16 asset management companies. The Association of Investment Management Companies (AIMC)...
matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2) oversea branch
the following offices: (1) domestic branch office; (2) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are
intermediary, no matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a