now well-positioned for a new chapter. In this regard, while a great deal has been achieved, I believe that the years ahead call for much more work and cooperative efforts. We must continue to be pro
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Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
and international investors.”AIMC President Mr. Wasin Wanichworanant said “the AIMC is determined to seek for opportunities and channels in developing industries, in conformity with the ever-changing
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and