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...

building for ACMF Members and stakeholders.At this Meeting, ACMF provided high-level feedback on how to support implementation of the ISSB S1 and S2 standards in the region, to ISSB’s Agenda Priorities

the arrangements with real funds.?Industry outreachThe JC discussed strategies to continue to closely engage with industry throughout the region to ensure that the Passport would meet industry needs.The

region presented an overview of the industry and the process of submitting the sale offer in each country, at the Industry Day Seminar organized by the Monetary Authority of Singapore. At this event, a

SEC Secretary-General Ruenvadee Suwanmongkol, along with SEC Deputy Secretary-General Sirivipa Supantanet, and management team met with H.E. Mr. Sou Socheat, Director General of the Securities and Exchange Commission of Cambodia (SECC), and executives in Phnom Penh, Cambodia, on August 5, 2019.On this occasion, both regulators exchanged views on cooperation and assistance that the SECC and SEC Thailand will provide to each other with regard to cross-border equity offering and depositary re...

Bangkok, February 15, 2013 ? The SEC hosted the first meeting of  heads of capital market policy makers and regulators in the Mekong region on February 8, 2013 in Bangkok. This high-level meeting was

“Navigating the Digital Asset Landscape: Development and Supervision of Digital Assets in the Region.” The event was organized by the Securities and Exchange Regulator of Cambodia (SERC) in collaboration with

to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation