concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
: Approval of Auditors in the Capital Market, dated 23 September 2010. The clause stipulates: “lack of professional ethics or violation of or non-compliance with the regulations under the Law on Accounting
On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
correct standards in alignment with the religion’s principles and are internationally accepted. In Thailand, an Islamic fund was first established in 2004 and currently there are six Islamic mutual funds
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
Notification of the Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other
Ecosystem Concept for the Thai capital market. These objectives emphasize the capital market development under five principles: (1) Fully digital processes from end to end, (2) Encouraging competition to
, lectured on the SEC’s supervisory approach in 2024, as well as key principles from the risk management handbook and expectations for significant systems of securities companies, created by the SEC and