, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For
information of a company secretary, and head of compliance unit.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit
information of a company secretary, and head of compliance unit. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to
Vorapol Socatiyanurak. FATF began assessment on the countries? counter-measures against money-laundering and terrorist financing in 2007, the result of which showed the highest score of compliance with
: Approval of Auditors in the Capital Market, dated 23 September 2010. The clause stipulates: “lack of professional ethics or violation of or non-compliance with the regulations under the Law on Accounting
SupTech for Enhancing Governance and Risk-based Supervision, Sustainability: From Compliance to Competitive Advantage และ Policy Design toward Fair Market โดยมีการนำเสนอผลงานวิจัยที่สะท้อนบทบาทของเทคโนโลยี
ในสายงานกำกับดูแลและตรวจสอบ (Compliance) และสายงานบริหารความเสี่ยง (Risk Management) ภายใต้โครงการ “GRE-2AT Forum for Capital Market 2026” ซึ่งจัดขึ้นต่อเนื่องเป็นปีที่สอง โดยมีนายเจษฎา ปรมาภรณ์พิลาส
flexibility, which may affect the ability to conduct fundraising in compliance with the prescribed requirements. The SEC has therefore proposed revisions to the relevant criteria. Previously, the SEC conducted