/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment
-MRF_SFC-Circular_15Nov22.pdf tracking ETFs including physical gold ETFs16. 3. The Thai Covered Fund’s net exposure17 resulting from the investment in derivatives must not exceed 100% of the fund’s net asset
During the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management http://market.sec.or.th/public/idisc/en
digital tokens as it has not been approved by the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7342 SEC Board resolves to propose the revocation of Zipmex digital asset business license for Finance
, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee
Ministry has introduced the Anti-Online Scam Operation https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10247 SEC public warning of investment solicitation by entities who are not licensed business