during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between work units and personnel of a securities
work units and personnel of a securities company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
their study visit. This visit featured a knowledge-sharing session on the SEC’s role in capital market regulation, including asset offering and supervision of equity, bonds, and digital assets. The
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, delivered a keynote speech on "Supervision for Sustainable Growth" at the TFPA Wealth Management Forum 2023: Default & Fraud, organized by the
service presentation, as a resolution to the issue of investment and savings towards the investing public. The regulations also emphasize on the significance of self-supervision for business providers.SEC
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline