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...
CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English
Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and cloud computing to offer services.? The amendment to the governing regulations has taken into consid...
Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the
KWI ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 18/03/2014 - 27/03/2014
KWI ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 01/10/2012 - 10/10/2012
Mr. Arkhom Termpittayapaisith, Minister of Finance, presided over the public conference and gave a keynote address on the topic, “Capital Market Development Policy: Mechanism to revive Thai Economy post-COVID-19”. As well, Mr. Pichit Akrathit, SEC Chairman, also gave his speech on the roles of Thai capital market toward the Thai economy and the roles of the SEC in laying out policies and directions for future development. Together with, Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, articula...
KWI ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 23/07/2007 - 02/08/2007
KWI ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 03/03/2016 - 08/03/2016