notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
and provide easy-to-access contact points for investors. ?This TIA role-strengthening effort is expected to keep listed company management in check and improve corporate governance of the capital market
of Clause 20(3) of the aforesaid notification. The SEC therefore publicly disclosed {B}' s inappropriate behavior in performing duties as an investment consultant and will keep a demerit record for
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
the criteria in order to keep it current. Consideration is given to the fact that the rates of fee should be equivalent, simple, and appropriate for the capital market environment , for example
that required to keep in a non-network-connected system unless the online execution of transaction is warranted (cold wallet); specifying the qualification of a digital asset custodian; and laying down
. ________________________Note:*Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are no longer necessary or do not keep pace with situations or remain
. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of
Economic Community (AEC), Thai capital market must be prompt for rapid change coming with wider business opportunity, economic growth and fierce competition. The SEC will keep close eyes on the development