,? she added.? In any case, the SEC rulemaking on intermediaries? work systems emphasizes more on principles based approach and minimum requirements to better respond to business models and risk profiles

ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments

requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom.   Failure to keep complete and correct records of clients? orders are deemed non

requirements.  In addition, listed companies may submit the reports through the Stock Exchange of Thailand (SET)'s electronic system while the original may be filed with the SEC later. (3) Investor contacts

requirements.  In addition, listed companies may submit the reports through the Stock Exchange of Thailand (SET)?s electronic system while the original may be filed with the SEC later. (3) Investor contacts

requirements under the terms and conditions. The company will therefore reconvene the meeting electronically on 3 October 2025 at 14.00 hours. The matters for consideration are as follows:    (1) Approving the

monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented

notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading

Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets

) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control