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Intermediaries and professional Number of Companies 150 As of : 08 Mar 2025 Last Updated : 09 Mar 2025 Intermediaries and professional summary Number of Companies Classified by Type of Companies Download data
would be required to ensure that investors who are not legal entities classified as institutional investors, ultra-high-net-worth investors or high-net-worth investors take a knowledge test before
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
United Nations Guiding Principles on Business and Human Rights (UNGPs), and to emphasize Human Rights Due Diligence (HRDD) throughout the value chain, with the goal of integrating these practices into the
information related to SRI Funds easily and comprehensively. SRI Funds are mutual funds with investment policies that emphasize sustainable business practices in accordance with sustainability-related
emphasize the importance of fostering effective, transparent, and accountable management across all business sectors, while considering the benefits of stakeholders, and encouraging Thai businesses to
strengthening mechanisms for sustainable investing, such as Thai ESG revised rules. Additionally, the SEC will emphasize digitization, particularly implementing technology to accelerate law enforcement
, 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
personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU licensee and derivatives broker appoint at least a compliance officer with specified qualifications.The