provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange of Thailand oversaw members’ operation pursuant to the rules drafted by the Bank of Thailand
develop the capital market. Highlights of these effort are the workshop meeting with all sectors of market participants chaired by His Excellency the Prime Minister on May 31, 2001, and the compilation of
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the