trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission
Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission and Granting of Permission to Securities Companies to Establish Branch Offices
, policy development, accountability measures, and board reporting. Attendees received practical guidance on initiating climate action plans, including skill assessments and planning and evaluation
Valuation” took place on 28 June 2024, at Sheraton Grande Sukhumvit Hotel, Bangkok. This seminar aimed to empower capital market professionals, in particular securities analysts, with the practical
analysis and valuation is relatively a new practice, having a practical workshop would be a useful starting point for investment analysts.”
the top” approach. This supports and drives practical cyber resilience within organizations. Therefore, the SEC has been holding annual cybersecurity workshops for directors in the capital market sector