regard, provident funds that implement the I Code will be able to ensure that their boards will manage funds for members? best interest more efficiently and at the same help to establish a good governance
committed to the fair balance of developments and innovations on one side and appropriate investor protection on the other. In this regard, the SEC implements the oversight principle of “same activity, same
recognized by the SEC as qualified personnel to perform duties of personnel in capital market such as fund manager and securities analyst. In this regard, we wish to extend our appreciation to CFA Society of
in the Thai capital market under certain limitations and clearly defined conditions. In this regard, the SEC Board would have the power to exempt businesses with certain characteristics from being
stipulated in the draft may materially affect decision as to whether or not the transaction should be approved. In this regard, IFA?s report also provide opinions and recommendations on certain amendment to
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
example, they must ask the clients to do suitability test before giving advice. In this regard, the SEC updated the progress of upcoming regulations on Basel III additional tier 1 and tier 2 instruments
person?s directorship and executive position at a publicly held company in accordance with Sections 89/4 and 89/6 of the SEA. In this regard, the SEC will not maintain Suthisak?s name on the Executive
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment