operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
Bangkok, July 29, 2011 ? The SEC has announced selection process for new Secretary-General. Candidates must have qualifications and shall not possess any of the prohibited characteristics. The SEC
technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall