own clients. It also aims to ensure that the clients have work systems in place to control and monitor compliance with the relevant regulations; (2) To require that securities companies put in place
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
be well prepared and independent in performing duties, and put in place measures for handling conflicts of interest. The amended real estate-back ICO regulations will take effect from 1 March 2021
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation
to further develop the capital market, find solutions to the problems so as to improve efficiency, and put in place investor protection mechanisms for investors’ confidence,” said Mr. Thawatchai
relevant agencies to put in place a mechanism for monitoring, through various channels, the impersonation investment scams involving the unauthorized use of personal names and logos of organizations
investment decision-making; such as date and offer price, earnings per share, and price-to-earnings ratio is also at your fingertips. Ten mutual funds categorized by investment policy are put in ?Mutual Fund
international standard and also enhancing the asset management companies ' competitiveness.To comply with the guideline, the asset management companies must put in place investment risk management system