According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
in the operation by accessing the organization’s information or internal information system, and arrange for such personnel to perform their functions in accordance with the established policy and
/News_Detail.aspx?SECID=9159 SEC unveils Kasetsart University?s researches suggesting investors consider several factors to assess listed companies the sample group of securities on the turnover list. The test
://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=9159 SEC unveils Kasetsart University?s researches suggesting investors consider several factors to assess listed companies the sample group of securities on the