/ Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE : For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076
process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
> Fund Manager Regulations SHARE : Detail Content Fund Manager/Investment Analyst The approval process for fund managers and investment analysts are prescribed in the Capital Market Supervisory
management process of mutual funds, the SEC encourages asset management companies to strengthen the efficiency of such process. This includes establishing a clear risk management policy and measures
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
SHARE : SEC adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen
supervision of digital asset business operators to strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and
amends regulations on supervision of digital asset business operators to strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital
supervision of digital asset business operators to strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and