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
broader range of stocks of companies that demonstrate outstanding environmental or sustainability ratings or scores, as evaluated by reliable and independent institutions. In addition, Thailand ESG Fund
and all other services) and warehouse rental conform to fair market rate evaluated on 17 May 2019 - according to The Valuation & Consultants Company Limited. - 2 - 4. The total value of the
of listed companies that have been evaluated by ESG ratings/scores providers other than SET (SET ESG ratings). This change aims to offer AMCs more diverse reference alternatives when making investment
warehouse is set from the market price - evaluated by The Valuation & Consultants Company Limited. Assessor The Valuation & Consultants Company Limited Method of Valuation Market Comparison Approach 6
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN