trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a contract, and has been licensed or registered under this Act, excluding any
in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
operators should be capable of delivering quality services while complying with relevant regulations. During April – May 2023, the SEC conducted a public hearing to seek comments and suggestions on the
the view that the “Aom No.5” campaign, with the integrated efforts of the AIMC, investment management companies, mutual fund brokers, related associations, the SET and the SEC, can help not only
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
involved are capable and collaborative that the financial reporting system would yield the much needed result of high quality financial reports. Being main contributors in the financial reporting process
. Human resource planning and allocation Advanced and appropriate human resource planning and allocation will ensure that audit firms are capable of obtaining capable workforce and are able to allocate
framework for corporate governance, with a view to support economic efficiency, sustainable growth and financial stability. This is primarily achieved by providing shareholders, board members and executives
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to