SEC has applied the principles for regulatory reform to revising governing mutual fund regulations in order to ensure that these rules are reasonable, practical and less burdensome for the
assets. Under the royal decree, they must obtain licenses to operate digital asset businesses from Ministry of Finance. SEC has a duty to standardize business practices to ensure that operators are well
asset businesses went into effect on 14 May 2018.“SEC has a duty to standardize business practices to ensure that operators are well-equipped in terms of management, work systems, particularly
business on their behalf in order to ensure that the delegation is duly carried out. SEC has made the public hearing document available at www.sec.or.th/hearing. Related persons and interested parties
program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to
, with the objectives to ensure that assistance on portfolio advisory and program trading is made available for investors, while the business operators may enhance the effectiveness of the service
this campaign is the development of public conscience and awareness of the importance of environment. In the initial phase, the goal is to ensure that each company, including SEC, has effective waste
providing service under Clause 3, derivatives broker shall undertake the followings: (1) arranging to have process to ensure that customer acknowledge risks associated with derivatives trading on foreign
regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities