business, and custodians for private funds and provident funds. The meeting took place at the SEC Building on 8 January 2024.
honored participants in the workshop which took place on 21 February 2024 at SEC Building.
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective Investment consultant ("IC
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping
Bangkok, July 10, 2015 ? The SEC and the Stock Exchange of Thailand (SET) agreed to provide the information concerning abnormal securities trading in one place. Accordingly, the SEC?s last Turnover
At present, money market funds are used by investors as a tool to manage liquidity and a place to park money for a short time, besides keeping it in banking accounts. As of February 2018, the size of
independent from the owner of assets to be invested by REITs. Moreover, REIT trustees must have in place preventive measures or sufficient check and balance mechanism, in cases of entering into transactions
with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and
damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and
, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and selection of debt instruments