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
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory
sectors to incorporate climate-related risks into their policy, strategic planning and risk management, and follow international standard disclosure guidelines.Donald Chan, Managing Director for Asia
safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by
investment readiness, enhance the understanding of investment products, enable access to investment opportunities to achieve financial goals, and safeguard against scams that exploit emerging technologies, all