) Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies

application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or

increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education

=searchcontent_th~5^10000&ps=2&mm=100&qf=title_th_default&fq=system_name%3A%22Laws%20%2F%20Regulations%22&start=10&rows=10 11 - 11 of 11 results Sort by: Relevance Date (Newest) Date (Oldest) Notification of Capital

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and

important opportunity for company executives, management teams, and shareholders to discuss various company matters and address key issues beneficial to the company and shareholders. Mrs. Pornanong

The Securities and Exchange Commission (SEC), represented by Mr. Setthapong Leelerdpong and Ms. Suppalak Akkittiwong, Senior Officers of the Capital Market Education Department, gave lectures on

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

assure that all respective systems  and capital market service providers, including Thailand Securities Depository Co., Ltd. (TSD), securities firms, asset management companies and derivatives agents

Bangkok, July 28, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to mutual funds and