. The REIT supervision would be relatively similar to that of listed companies. For instance, an acquisition or disposition of key assets and related-person transactions must be approved by the trustee
การณ์ของตลาดทุนในปัจจุบัน โดยได้จัดตั้งฝ่ายกำกับธุรกิจแนะนำการลงทุน (Investment Advice Supervision Department) เพื่อกำกับดูแลผู้ให้บริการด้านคำแนะนำและการขายหลักทรัพย์แก่ผู้ลงทุน ซึ่งเดิมเป็นหน้าที่และ
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
management procedures to support business operations via each service channel in compliance with the new regulation. 6 Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous