Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also
burdens and operating costs of private sectors. Currently, there are 68 ongoing projects. Based on the initial assessment, once all 83 projects have been completed, they are expected to help reduce
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the
instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further examination, there was evidence that 13 persons, namely: (1) Mr. Suraphong Triamchanchai, (2) Nippon Pack
BANGKOK, October 12, 2006 ? The SEC ordered Compass East Industry (Thailand) Plc. (CEI) to cooperate with its auditor in the examination of the company?s inventory, machinery, equipment, moulds and
seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better