that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
to ensure economy of scale for such investment management. In addition, asset management companies view that the existing rules that allow management of mutual funds through investment in other
. Nevertheless, no facts appeared to demonstrate that Huobi would be able to rectify its work systems and ensure readiness of its personnel in accordance with the governing regulations within the requested
well as adequate and appropriate risk management, especially with regard to the confidentiality of the clients’ personal trading information and cyber security, to ensure that investors receive the
draft National Pension Fund Act, amendment to the Provident Fund Act B.E. 2530 (1987) would be required to ensure a smooth transition from a voluntary defined contribution scheme to a mandatory pension
digital asset business that would be required to apply for a license. The SEC later conducted a public hearing on a proposal to revise the regulations in this matter to ensure safe and standardized digital
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
investing in target date funds to ensure that they will not outlive their savings. Meanwhile, as the retirees should efficiently manage their retirement savings, post retirement funds will be a well-responsed
ensure compliance with respective laws and developing capital markets of the two countries. The MoU, signed by SEC Secretary-General Vorapol Socatiyanurak and SECC Director General Ming Bankosal, aims at
include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and