in turn helps to foster a more trustworthy, efficient, and inclusive capital market for all sectors. More information is available at https://sustainablefinance.sec.or.th/Fund Remark
benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the
repurchased shares is efficient and cost-effective. Essentially, the proposed amendment applies to: (1) RO of repurchased shares under a similar principle for supervision of an offering of newly issued
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1
advice in relation to the SEC rules and regulations and disclosable information for a more efficient investor rights exercising process”, said the SEC Secretary-General.The SEC has continuously supported
License ดังนั้น การจัดตั้งกองดังกล่าว จึงไม่จำต้องมี derivative license อย่างไรก็ตาม การจัดตั้งเป็น Fund of Funds หรือ Feeder Fund ที่กองทุนปลายทางมีการลงทุนใน derivatives เพื่อ EPM (Efficient
inventories. Other Income Other income of the Company and its subsidiaries consists of agent fee income, interest income, gain on exchange rate and gain on short-term investment. For the nine-month period ended
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for Approval