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Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
to all sectors, leading the way towards enhanced capabilities and higher potential for all stakeholder groups. As for the SEC organization itself, it is important that the SEC team, as a change agent
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be
., BANGKAE, BANGKAE, BANGKOK, THAILAND. 10160 Tel: 02-455-2888 Fax: 02-455-2763 (“TRANSLATION”) TG 142/2560 August 8, 2017 Subject: Clarification of the Operating Result for the significant change Attention
person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the
instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good