| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
Bangkok, January 22, 2014 ? Following the acquisition of control over Electronics Industry Public Company Limited (EIC) by Bee Taechaubol and Thai Prime Co.Ltd., where the tender offer for all EIC
to manage SUTG by themselves again after they found out that the RDF projects was delay and have lose some projects to other companies which do not use innovation channel. It might make more risk in
Content Business Operator A Settlor of an Infrastructure Trust A settlor (after settling of a trust will manage the trust, thereby called a trust manager) assumes crucial roles starting from
set up and manage mutual funds. SEC has developed a system and revise the regulations for submission to set up and manage mutual funds with a filing via electronics system: the Online Fund Approval and
but offering return to outpace increase in product and service prices; accordingly, suit the retirees having limited investment knowledge or favoring financial experts to manage their money. In Thailand
common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or participates in determining credit ratings, including an employee