Bangkok, July 23, 2013 ? The European Commission ("EC") announced its decision to recognize Thailand auditor oversight under SEC?s supervision as equivalent to those of the European Union ("EU
Bangkok, April 21, 2016 -- The SEC is seeking public comments on draft rules concerning supervision on trigger funds and advertisement of other types of mutual funds, to be imposed on relevant
Luxembourg ("CSSF") to promote mutual collaboration in exchanging information on the supervision of mutual funds on November 28, 2012.The MoU aims to enhance collaboration in exchanging information on
broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
Conflict of Interest shall be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients
does not include (1) the existing types of securities under the Securities and Exchange Act B.E. 2535; and (2) instruments representing rights pursuant to an agreement of contract where the right is
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1.6 For the purpose of supervision the undertaking of