The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
Microsoft Word - 2008-034EN Management Discussion and Analysis for the Q2 2020 (Ending June 30^J 2020)-Rev (002) Ref. No. 2008/034EN August 13, 2020 Subject Management Discussion and Analysis for the
October 2024, the Capital Market Supervisory Board Meeting No. 10/2024 passed a resolution approving in principle the proposed amendments to the PVD management regulations. The SEC is therefore
domestic assets such as stocks or debt securities with environmental protection or sustainability themes.Dr. Kulaya Tantitemit, Comptroller-General and acting for Director-General of the Revenue Department
example, not putting the assets of private fund clients in custody of depository, allocating IPO shares to private fund clients only while allocating none to mutual funds under the company’s management
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9