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
aspects of sustainable development which are 1) CG in substance: building up sound business performance with sustainability and trustworthiness by emphasizing on actual practice such as encouraging
adopt the I Code as a guideline for work operation and investment.?Institutional investors are a key component of the capital market. Their adoption of the I Code will enhance trustworthiness of both
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
would facilitate the identity proofing and authentication process, which is the first step towards easy and quick but with trustworthiness financial transactions. For the capital market, the NDID
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law