company shall establish a system for redemption of investment units, and a system for examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or analysis of
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
clearly, securities firms were to include in their research corporate governance assessment ratings of listed companies, and relevant regulations were revised to strengthen net capital rules of securities
Cybersecurity Law, such as Vulnerability Assessment and Penetration Test, etc.; and (6) Revising the third-party management provisions by extending the scope to include IT service providers or business partners
futures exchange and formulate risk management tools. Moreover, closed coordination will be made with foreign regulators while Thailand will participate in the assessment project called the Report on the
also appointed to serve as board members in several agencies of the Government as well as private sectors, which including the Performance Assessment Committee of the State-owned Enterprises, the
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system