Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
ผู้รับดำเนินการในงานที่เกี่ยวข้องกับการประกอบธุรกิจ (outsource) ซึ่ง บลจ. มีหน้าที่กำกับดูแล (supervise) บุคคลภายนอกดังกล่าวปฏิบัติให้เป็นไปตามหลักเกณฑ์ที่กำหนดเกี่ยวกับงานที่รับมอบหมายด้วย 2
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset
supervise its clients to invest or enter into transactions according to the results of suitability or advice on basic asset allocation as prescribed in Clause 34. In the case that the clients wish to invest
supervise its clients to invest or enter into transactions according to the results of suitability or advice on basic asset allocation as prescribed in Clause 34. In the case that the clients wish to invest
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance