market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

, the SEC found that the audit firms did not seem to evaluate 11 whether there were any threats to independence or any conflicts of interest before issuing engagement letters to clients. Beyond

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

การนำเทคโนโลยีมาอำนวยความสะดวกให้ผู้ลงทุนเข้าถึงบริการในตลาดทุนได้ง่าย และสามารถปรับเปลี่ยนรูปแบบที่ต้องการรับบริการได้สะดวกรวดเร็ว (ease of switching) โดยได้รับเกียรติจากวิทยากรผู้เชี่ยวชาญหลากหลายสาขา

lifestyles. In addition, the government has launched NDID project that will be the country’s central infrastructure for service providers in both public and  private sector in compliance with ease of doing

.?Ease of investment rules for mutual fund aims to widen both investment and fund raising opportunities for large projects in the GMS countries which have high growth potential?, Vorapol said.

sector. In addition, as SEC has measures for monitoring and inspection of reports, data, including business standards and ethics of the securities companies, it is able to ease the rules to better

The MoU was signed by Mr. Ian Johnston, Chief Executive of DFSA, and Ms. Ruenvadee Suwanmongkol, Secretary-General of SEC Thailand, on 18 October 2022.The agreement provides a framework for ease of

rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital