Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
problem-solving as a mechanism for dealing with potential financial crises in a systematic manner. Such plan must appropriately take into account the characteristics and complexity of structures and
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
titled "Managing Climate-related Risks and Opportunities in Equity Analysis and Investment." The webinar, co-organized by Thai SEC, CFA Institute and CFA Society Thailand, is aimed to provide insights
The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC), and the Thai Bankers’ Association (TBA), organized an
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of the fund by trading https://publish.sec.or.th/nrs
&FUNDCOMPRUNCODE=M... 5622pe.doc the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of
organized by the Asian Corporate Governance Association and the CLSA Asia-Pacific Markets. This is due to continuous improvement and revision of supervisory regulations together with information disclosure of