The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
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 financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
ensure business continuity and prevent damage caused by deficient information security ?Currently, operating business of listed companies no longer deals with economic prosperity alone. Rather, managing
2019. (Ms. Bee Leng Ooi will continue to be a Managing Director of the Company). 2.2) Mr. Shaw-Tseng Ding, Director of the Company, resigned as a Company Director, with effect from 21st August 2019. 3
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
previous year, due to the transition of a new strategic business partner as distributor, resulting in the declining sales during the transition period, let alone the fact that sales started through the new
of the Company, MK and PD towards the Trust (the “Undertaking Transaction”). (The details of Undertaking Transaction appear in 1.3.2 “Undertaking Transaction”) Approved the Authority of Managing