professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
the level of trust from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its
management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk management; selection and
, offering extremely high returns, guaranteeing returns, urging for investment without requiring prior knowledge, pressuring to make a quick decision, asking to transfer money into the accounts of private
consultants with ESG knowledge, ensuring that professionals in the capital market are equipped to perform their roles effectively. This event took place on 4 November 2024 at Sofitel Bangkok Sukhumvit Hotel
crucial to ensuring operational efficiency and tangible outcomes. The SEC must operate with agility to swiftly respond to evolving circumstances. This agility is essential for upholding good governance