investors, as well as to have a flexible and effective working system and measures against conflicts of interests. SEC also sought comments and concerns in regards of relevant aspects such as the
investors in minds, as well as for them to have a flexible and effective working system and measures against conflicts of interests. SEC also sought comments and concerns in regards of relevant aspects
-Process (KYP) due diligence. This is to ensure that clients who are foreign securities companies acknowledge and understand the relevant regulations and effectively communicate these regulations to their
Bangkok, July 8, 2016 ? The SEC Independent Audit Inspection Activities Reports for the second-cycle period during 2013-2015 have shown significant progress in the quality control system of audit
Work System Related to Business Undertaking of Mutual Fund Management
Rules in Detail on Establishment of Information Technology System
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of the Notification of the Securities and Exchange
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
companies, as an institutional investor, understand the risks and effects of climate change on business operations; and (3) to promote role of Thai capital market as one of the driving force to help