required. Moreover, certain criteria will be applicable to the business operator such as (i) outsourcing policy and arrangement must be made in writing; (ii) contingency plan must be in place for the case
by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares
international standard and also enhancing the asset management companies ' competitiveness.To comply with the guideline, the asset management companies must put in place investment risk management system
for private sectors.?To achieve the regulation-for-growth objective, an effective corporate governance mechanism must be in place for the oversight of decision-making process to ensure that corporate
onwards. In considering these amendments, SEC has taken into account opinions received from business operators and related parties during the public hearing which took place earlier.________________________
SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25
personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
on standards of conduct. The FOCUS and IFEC manipulations took place in 2008. The SEC had already filed a criminal complaint against the wrongdoers and aiders while the Settlement Committee had