) contains a salient point on amendment to the Bank of Thailand’s limited authority under Financial Institution Business Act B.E. 2551 (2008) to ensure enhanced efficiency in supervising specialized financial
Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for
, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. “mutual fund management
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
the future plan such as business growth rate in 3-5 years Page 4 of 32 (Unofficial Translation) 2. The executive should prescribe key policies in supervising the undertaking of fund management business
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
statement; (4) re-examining and reviewing in the compliance of rules; (5) supervising the internal examining unit; (6) performing any other duties assigned by the SEC. In the execution of the duties under the
regulations The SEC will push forward regulatory amendments to increase flexibility, reduce operational costs of private sector and facilitate their adjustments to strengthen competitiveness. In supervising
Governance “Governance” is the key driving SEC mission in supervising and developing the Thai capital market to reach its goal in creating sustainability in three dimensions: the SEC’s sustainability, the Thai