SEC
Thailand tightens supervision of intermediaries
Thailand is to toughen up its supervision of financial intermediaries in a bid to prevent the exploitation of clients.
Thailand opens to higher yielding products
Thailand’s Securities and Exchange Commission said that it intends to permit the launch of offshore hedge funds and junk bond funds later this year.
Thailand’s SEC files criminal complaint against adviser PPI
Thailand’s Securities and Exchange Commission said it has filed a criminal complaint against Professional Portfolio International (PPI), a financial planning and wealth management firm with offices across Southeast Asia, and two of its employees for operating a securities business without a licence.
Tax & Regulation | 16 Jun 15
FCA fines rise sharply in 2014 to over £1.47bn
Britain’s Financial Conduct Authority (FCA) penalised firms a total of £1.47bn ($2.3bn) in 2014, though the number of fines fell pushing the severity of the penalties up sharply, according to the 2015 Global Enforcement Review published by Kinetic Partners.
SEC revises fund rules to support derivatives
Thailands Securities and Exchange Commission (SEC) has revised rules for a variety of funds to allow investment in derivatives and structured notes.