such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
products altogether.Such behavioral information poses a big question for the SEC as to how best to supervise and develop the overall mutual fund business to ensure that products and services would truly
risks and benefits of digital assets, including the underpinning technologies. At present, widespread adoption of digital assets as a means of payment for goods and services poses risk to the country’s
continuously and credibly manage the trust in accordance with the trust instrument. Clause 13 The trustee poses no reasonable doubt to its ability to continuously and credibly perform the duties of a trustee in
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
Louichareon as expert member to the SEC Board.- Mr. Kampanart Lohacharoenvanich and Mr. Pratib Yongvanich as expert member to the CMSB, filling the vacant positions by means of drawing lot. Mr. Kampanart was re
is a chartered financial analyst (CFA) and a financial risk manager (FRM). Prior to the appointment, he has served in the positions of Director of the Intermediaries Policy Department and the Market
listed companies report all of their current job positions and activities elsewhere, either in other businesses or organizations, as well as identify the primary employment (if any). Currently, directors
out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of