The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of the key issues include competent personnel, professional code of conduct, effective risk managemen...

growth in the Financial Services sector. The MoU strengthens the existing relationship between the UK and the SEC, formalizing collaboration in areas including accounting standards; the development of

, Australia; and (v) Ankleshwar, India. IVL would like to inform that all formalities with regards to the said Transaction has been completed on 3rd January 2020. This acquisition reinforces IVL’s Integrated

Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the

should establish a framework for governance of enterprise IT that is aligned with the company’s business needs and priorities, stimulates business opportunities and performance, strengthens risk management

to financial crises, reinforces property rights, reduces transaction costs and the cost of capital, and leads to capital market development. Weak https://www.sec.or.th/cgthailand/TH/Documents

The MoU strengthens the existing relationship between the UK and the SEC, formalising collaboration in areas including accounting standards; the development of Financial Technology (FinTech) to

funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on

through the financial services sector. The MoU strengthens the existing relationship between the UK and the SEC, formalising collaboration in areas including accounting standards; the development of

vulnerability to financial crises, reinforces property rights, reduces transaction costs and the cost of capital, and leads to capital market development. Weak https://www.sec.or.th/cgthailand/TH/Documents