Facebook Page ชื่อ Manage future trade : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Facebook page “Manage Mutual Funds” impersonates “BBL Asset Management Co.,Ltd” : Unlicensed securities and derivatives business (Disclosure Date : 02/09/2024)
Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Bangkok, June 21, 2016 ? The SEC and the Stock Exchange of Thailand (SET), with support from the Office of the Judiciary, have recently co-organized a capital market seminar to discuss how class action* can be another legal option for protecting investors? interest.Guest lectured by Appeal Court Judge Pongdej Wanichkittikul to stakeholders from listed companies, the Thai Investors Association and the Association of Investment Management Companies among others, the seminar highlighted the princip...
SEC revealed that, under the situation of the outbreak of COVID-19 which has impacted the business operations, the financial positions and the performance of listed companies and security issuers, and the trading prices of securities of listed companies on the Stock Exchange of Thailand. SEC, therefore, encouraged every listed company and security issuer to disclose both positive and positive effects of COVID-19 on the company. This information could be disclosed via different channels,...
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The