Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff