company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement
ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group ซึ่งมีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และความคืบหน้าในการจัดการประเด็นต่าง ๆ รวมถึงการให้การสนับสนุนสมาชิกจาก IOSCO ใน
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), delivered the opening remarks at an annual seminar titled, “Understanding the Thai Capital Market
ก.ล.ต. ร่วมลงนามบันทึกความเข้าใจ (Memorandum of Understanding: MoU) กับ Commission de Surveillance du Secteur Financier (CSSF) หน่วยงานกำกับดูแลตลาดการเงินของราชรัฐลักเซมเบิร์ก ("ลักเซมเบิร์ก") เพื่อ
companies. Additionally, the TLCA serves as a representative for listed companies in coordinating and monitoring the amendments to various regulations issued by regulators. This is to ensure that listed
plan with proper instruments; (4) monitoring and adjusting investment proportion in according to acceptable risks and investment targets; and (5) reporting the overall investment of customers. If
and understanding of business operation. The SEC took such suggestions into consideration in revising the proposed principles to enhance suitability. The SEC, therefore, issued two relevant
For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...