compliance profession. The joint meeting took place on 1 December 2023.
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
of director to be the highest responsible person for administering Institute of Appraisal Profession; (b) a person holding a position on the managing level to be responsible for member supervision or
Page 1 of 3 No. ACC6308/001 August 11, 2021 Subject: Clarification of the operating results quarter 2/2021 of the year ended June 30, 2021 Attention : Director and Managing Director, The Stock
Page 1 of 3 No. ACC6411/003 November 11, 2021 Subject: Clarification of the operating results quarter 3/2021 of the year ended September 30, 2021 Attention : Director and Managing Director, The Stock
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company