conditions to handle potential risks and liabilities from duty performance, for example, in case of loss of clients’ assets. SEC Secretary-General Ruenvadee Suwanmongkol said: “Technology is key to digital
’ resources. • Audit firms need to recruit new staff for this. • regulators focusing on whether firms are competing on price rather than on audit quality 2. Political Environments Audit Committees : possibility
SEC’s consideration of approval. SEC Oversight of Securities Short Selling (Published on 17 November 2023 (Thai version)) The SEC has continuously monitored the SET’s operations, including the possibility
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30
Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"
appropriate action as necessary. • Confident to manage investments and make adjustments. • Motivated to be kept informed about existing investments and take necessary actions. 5 A. AWARENESS AND KNOWLEDGE, i.e
Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the