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
Phuathavornskul, the Chief Operating Officer, Vice Chairman of the Board, and Director of CMO, acted dishonestly by conducting through the investment in the purchase of Momentum S Company Limited ("MTS"
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