/insufficient disclosed information Inefficient workflow Others, please specify………………………………………………………………………… Investment Consultant: Conducting personal trades through the clients' accounts and the trades cause
SEC Thailand , said: “FinTech and sustainable finance are key areas emphasized by SEC Thailand. We strongly believe that the new MoU with the UK Government will support the enhancement of the financial
the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to place importance in the handling of its data management system or
inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
the figure seen on December 31, 2018, because of purchases of more equipment items to serve demand from the market and the enhancement of service standard at the Studio Park project. The total
enhancement of fundraisers’ sustainability and the promotion for the capital market to become a key driver for achieving the nation’s sustainable development goals (SDGs). (4) Capital market is developed and
The enhancement of fund managers’ duty performance in accordance with I-Code** will be supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The
on quality and reliability enhancement of such business operator to protect investors. This means the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9337 ก.ล.ต. จัดงานเสวนาออนไลน์SEC Thailand
and reliability enhancement of such business operator to protect investors. This means the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9337 ก.ล.ต. จัดงานเสวนาออนไลน์SEC Thailand International