-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
the SEC’s strategic priority to build cyber resilience and to ensure that licensed corporations have efficient IT systems and resilience to cyber threats and are able to comply with the governing rules
operators, professionals, and listed companies, and become important tax units that create sizable revenue to the country. As the Thai capital market has been developed to become increasingly efficient and
committed to reviewing within 21 calendar days a complete application from fund managers for the authorisation of a fund; and(c) give participating fund managers more flexibility to delegate the investment
rights to the provident fund committee or request the provident fund committee to delegate its voting power to the private fund management company. 2.5 Preparation and submission of reports to the SEC
rights to the provident fund committee or request the provident fund committee to delegate its voting power to the private fund management company. 2.5 Preparation and submission of reports to the SEC
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
delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to submit reports or relevant information to the management company for the purpose of tracing
delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to submit reports or relevant information to the management company for the purpose of tracing