person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the

instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good

the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by

the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by

The Securities and Exchange Commission (SEC) supported the Thai Investor Association (TIA)’s Kick Off - AGM Checklist 2024, as part of the continuous endorsement for the project which presents an

investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous

. The SEC has also established action plans for continuous improvement and development to achieve its mission and better meet the needs and expectations of stakeholders on an ongoing basis,” said Mr

Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the

An examination on the provision of Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the digital asset exchange of Zipmex Thailand, showed that the

examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for