mobilized global financial leaders to virtually discuss the next steps. They focused on innovative practices to enhance stewardship of financing for long-term, sustainable value, complementary to private
pursue the NPL management and collection business, which is viewed to have a potential to generate income and enhance the stability of the company in the long run.However, the independent financial advisor
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
events leading to fluctuations in the investment management business, a significant impact could produce an effect on the overall financial system of the country.SEC therefore needs to revise report
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
(SDGs). It also brought to the fore investment management business operators, institutional investors and other capital market participants for an in-depth discussion on the Principles for Responsible
about saving and investment. Commercial banks and the TBAC are therefore pleased to be part of this important campaign and would like to confirm our commitment to further help promote sound financial
all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of