Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
. The SEC realizes the importance of cultivating investment culture through long-term savings and is of view that the Provident Fund Act of 1987 should be amended to help promote savings culture. The SEC
investment upon approval of the SET Board of Governors, and (4) the composition of the CMDF Board shall be restructured. The received public comments and the Ministry of Finance's resolution from the previous
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
not limited to debt securities or the units; (c) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as
investment trust or other securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations