infrastructure trusts to ensure that they have adequate and suitably high levels of capital. Under the proposed amendments, the initial capital requirement or the minimum amount of owner’s equity must be
companies to give trust investors adequate information. Trust managers will have the duty to prepare and disclose information relating to financial position and operating performance of the trusts. If they
regulations in business. The business providers must also have adequate personnel with the understanding in the basic operating principle and the risks of such algorithm, and are responsible to use the
business providers must also have adequate personnel with the understanding in the basic operating principle, the risks of such an algorithm and the responsibility of using technology and use it to manage
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk
, underwriters must put in place an effective conflicts of interest prevention system. This aims at facilitating under the current circumstances.Meanwhile, the SEC supported investors to have adequate and ongoing
approval criteria, disclosure standards and other relevant rules in the same manner as those applicable to Thai companies such as shareholder protection, prevention of conflict of interest, adequate
human resources management and development programmes to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff. Principle 1 | 2
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate