SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by

for self-regulation The ASCO was asked to submit its action plan for becoming a self-regulatory organization (SRO) for the SEC?s approval. The plan must emphasize the core objectives of self regulation

’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนา Compliance Meeting หัวข้อ “Strengthen Self-Regulate กำกับดูแลตนเองอย่างเท่าทัน” ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลัก

Bangkok, September 1, 2014 ? The SEC is seeking public comment on amendments to the Securities and Exchange Act B.E. 2535 (1992) to support the establishment of self-regulatory organizations (SROs

2025. On this occasion, the SEC was among the government agencies honored with Privacy Self-Assessment Excellence Award with the highest score in the Privacy Maturity Model & Privacy Index project

2025. On this occasion, the SEC was among the government agencies honored with Privacy Self-Assessment Excellence Award with the highest score in the Privacy Maturity Model & Privacy Index project

แบบประเมินตนเอง (Self - Assessment Questionnaire หรือ SAQ) ด้านระบบงานสำหรับการลงทุนเพื่อบริษัทหลักทรัพย์

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.