underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a

Mr. Chanant Charnchainarong earned a Bachelor of Chemical Engineering, King Mongkut’s University of Technology Thonburi, and a Master of Business Administration, Seattle University, USA. Currently

Enforcement Department 2 and the Litigation Department. His appointment has become effective as from 1 February 2024.  Pol. Lt. Col. Sutthisak Jitpimonmas holds a bachelor’s degree in Public Administration from

Department, extended the SEC congratulations to the Revenue Department on its 109th Anniversary. Mr. Somsak Anuntawat, Principal Advisor on Strategic Tax Administration (Energy Industry), gave a warm welcome

The Securities and Exchange Commission (SEC), represented by Mr. Kittipong Rattanachaisit, Director of the Finance and General Administration Department (right), extended the SEC congratulations to

The Securities and Exchange Commission (SEC) welcomed the faculty members  and students from the Business Administration Program in Business Innovation Management, Faculty of Management Science

accordance with the 2 following principles: (1) good governance and clear, transparent organizational structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with

each type of investment unit, and, in cases where different types of investment units have different policies about returns or the priority return, clear details about the nature and conditions of

, procurement, and general administration. The company also gives clear scope of authorities and approval hierarchy of each management level to prevent fraudulence. For example, the company establishes: chart of