& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
period of 20 years and more to the last 400 days of their wages according to Labour Protection Act (No.7) B.E.2562(2019). ▪ An increasing participating profit from investment in associated companies in Q2
digital asset businesses to enhance investor protection The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor
knowledge, skills and attitudes about financial management, covering the setting of appropriate financial goals, having adequate savings and protection (via insurance) in times of emergency, having sufficient
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
the Deposit Protection Agency Act B.E. 2551. The revision will require securities company or derivatives broker to deposit client?s money with commercial banks or invest in promissory notes and bills of
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most
Thai incorporated companies and foreign companies not listed on specified main board of foreign exchanges. The proposal aims at enhancing investor protection while pushing securities issuers to rectify
lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on
respond to investors? demands and enhance investors? protection. SEC Assistant Secretary-General Duangmon Chuengsatiansup said: "investment consultants are required to have their clients take a suitability