) and organizations of capital market business operators. This aims at preparing Thai capital market?s infrastructure to be more responsive to global changes, enhance flexibility of supervisory structure
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
SEC Secretary-General Ruenvadee Suwanmongkol said: “The ESG-focused business practice and investment help to promote sustainable investment. This is a growing trend in capital markets around the
SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
market business during the period he is prosecuted. In addition, the SEC investigated the Investment Committee of Solaris Asset Management Co., Ltd. in authorizing the mutual fund to invest in debt
Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the