financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and
that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment
securities firms, investor contacts and clients. Strict rules must be complied and securities firms must put in place necessary systems and tools for maintaining records of clients orders that include voice
asset exchange seeks to apply for a derivatives business license, it must put in place appropriate measures to prevent conflicts of interest, as such arrangements may pose risks arising from access to
prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place
. To comply with the rules, KBank has put in place measures related to this mandatory audit rotation. Ministerial Regulation Concerning Use of Additional Types of Assets as Business Collateral B.E
/public/idisc/en/Enforce Settlement Committee Order No. 58/2022 Dated 28/03/2022 (Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of
and generate benefits from the securities in possession . In this regard, however, securities companies have to put in place efficient control and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID