Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of
SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee