companies conducting mutual fund management and private fund management businesses. The consultation paper is available at www.sec.or.th/hearing Stakeholders and interested parties are welcome to

, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The

SEC is conducting a public hearing on draft notification on financial statement forms for securities companies and derivatives business operators to be in line with Thai Financial Reporting

to facilitate organization of seminar, preparation of investment manual for dissemination to investors and general public, function as a center for conducting suitability test for investors and provide

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

Bangkok, July 18, 2013 ?The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against (1) Maris Tarab, former managing director of ING Funds (Thailand) Co., Ltd. (ING

segments, we focus on creating innovations and managing financial products, as well as reinforcing our sales and service quality excellence, with greater consideration of consumer protection in order to

fundamental skills are essential for efficiently managing personal finance in the future. The event took place on 22 April 2024, at KMUTT.Ms. Sireethorn Civilize, SEC Assistant Director of Investment Management

Mr. Dominic Der Kevorkian Mr. Dominic Der Kevorkian, as managing director responsible for the operation of K-TECH Construction PLC (KTECH), failed to supervise KTECH to submit the financial

Mr. Waravoot Lapvisutisin Mr. Waravoot Lapvisutisin, as managing director responsible for the operation of Picnic Corporation PLC (PICNI), failed to supervise PICNI to prepare and submit the