Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives, participated in the Anti-Corruption Day 2024 under the theme “Transparent
organization and working environment, with the primary goal of leading the SEC as a regulatory agency that develops the capital market and supports economic growth. Under transparent and fair management in line
transparent and fair management in line with international standard good governance guidelines, we are... https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10171 SEC public hearing on proposed amendments to