Thailand have been closely monitoring the situation in the financial market, and deem it necessary to take the following measures to stabilize the financial market and stop the liquidity problem from
and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered. SEC
is therefore suggesting that SET needs to review the free-float criteria and the trading alert measures, especially in cases where the prices of low free-float shares change quickly, and consider other
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and...
establish witness protection measures which can be granted during the stage of SEC’s investigation. The measures will provide SEC another prospect to obtain credible information and evidence that will
The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral
Bangkok, October 26 2011 ? SEC Secretary-General Vorapol Socatiyanurak expresses his concern over impact of flooding situation that ?flooding of this magnitude has affected some manufacturing and service sectors in the capital market. The SEC has closely monitored the situation and consistently cooperated with related parties to keep informed of the impact level, consider relaxation of rules to help lessen regulatory burden and further relief for businesses. At present, the reliefs include:(1) ...
The Securities and Exchange Commission (SEC), through its Transparency Working Group, held a meeting to discuss measures for promoting organizational integrity and transparency in 2025. Mrs
Investigation Bureau, the Anti-Money Laundering Office, and the Thai Bankers’ Association, to establish additional measures and industry standards to address the issue of victims' funds being transferred through