taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting
appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness
fixed details, that cover several issues such as personnel’s well-preparedness, investment management, reception and delivery of funds’ assets and risk management.SEC has studied the supervision in
details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and
related regulations have already been put in place, and will expand the scope of the related regulations to cover both inbound and outbound unit offerings in support of the HK-TH MRF project. The
limitations. As a result of this proposed amendment, the Regulatory Sandbox would cover both pre-trading and post-trading activities in the capital market. The consultation paper is available at https
underwritten by them. The permission will cover either trading to hedge derivatives positions that underwriters already have or trading of shares in SET50 or SET100 subject to certain conditions. In addition
according to the Service Level Agreement; 3) Rectifying the work system for supporting the Business Continuity Plan to cover the case of trading interruption in consistent with the current business
and international levels. The proposed amendments cover permission for persons other than securities issuers to apply for securities listing on the Stock Exchange of Thailand (SET) while those who
services as investment consultant and investment analyst and choosing products for investors. Moreover, providing research reports that cover ESG aspects of listed companies will urge listed companies to