compliance professionals and facilitating more flexibility and compatibility with international standards as compliance unit functions for inspection and prevention of risks associated with business operators
List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to
are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
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for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business
functions responding to a variety of investment demands. The SEC hopes that the application will be the tool that could eventually improve the investment skill among the Thais,? said Vorapol.
’ businesses, increase their liquidity derived from trading in more than one exchange and access to larger pool of potential investors.This MOU will cover the establishment and functions of the working team