of intermediaries by revising the period of fee payment. The public hearing on the principles for amending the rules took place from 17 July to 20 August 2019. The proposed amendments have taken into
. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees. In proposing the rule changes, the SEC took into
announcement that the IOSCO, having considered that the Thai SEC has in place international standards of information sharing and exchange mechanism in line with the IOSCO benchmarks, had approved for the Thai
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management
Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which violated
Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which violated
of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is failing to segregate assets under its custody as assets
procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily
Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity