Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN
President from February to March 2011 with duties as head of fund managers responsible for supervising the equity funds managed by both companies respectively, had committed dishonest acts by using
with all types of investors /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
, Paris, former Director of the London School of Economics, will share his experience in supervising financial institutions in Europe and Euro zone crisis and solutions on the topic of Capital Markets
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
Thai listed company recipients. The conference was held at The Athenee Hotel Bangkok. Finance Minister Arkhom Termpittayapaisith said: “As a regulatory agency, SEC plays an important role in supervising