The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN
President from February to March 2011 with duties as head of fund managers responsible for supervising the equity funds managed by both companies respectively, had committed dishonest acts by using
, held a joint meeting to discuss and exchange views on strategies for promoting, developing, and supervising digital assets, including the involvement of the government, the Thai Digital Asset
capital market regulatory agencies across the Asia-Pacific region. The event, held on 23-24 June 2025 in Bangkok, fostered an exchange of knowledge and experience in supervising securities, derivatives
Bangkok, January 19, 2016 ? The SEC is seeking public comments on draft rules and guidelines for supervising crowdfunding portals.The proposed rules aim to establish a standard framework for
objective and providing up-to-date information sufficient for risk analysis. The reporting requirements on those unused for supervising purpose will be eliminated while frequency of report submission will be