Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC Secretary-General Ruenvadee Suwanmongkol said that SEC and the related agencies had discussed the COVID-19 situation and acknowledged limitations on the AGM holding of listed companies. The meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform s...
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
) who is a juristic person, derivatives clearing houses shall also supervise and monitor potential risks of these members. Clause 25 In cases where a derivatives clearing house provides tiered
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
monitor potential risks to computer systems relating to trading services with respect to derivatives, derivatives exchanges shall take at least the following actions: (1) establish policies and measures to
products altogether.Such behavioral information poses a big question for the SEC as to how best to supervise and develop the overall mutual fund business to ensure that products and services would truly
in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and