clearing and settlement related to or because of a client’s derivatives trading. The benefits, the controlling power or the financial support under Paragraph 1 may arise from an agreement, an understanding
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
Earlier, SEC conducted a public hearing on the principle of understanding investment in leasehold funds and funds with revenue sharing agreements and the fund/trust disclosure of investment return
on acquisition or disposition of assets year 2004 (including the additional amendment announcement) (“the announcement on acquisition or disposition”). And when making evaluation in accordance with all
quality control systems. Of the total 32 audit firms, 53 percent received the Good to Very Good evaluation results – an improvement from 48 percent in 2019 and from 51 percent in 2020. In addition, seven
participates in the Send Plastic Home project. To do so, we take stretch plastics and hard plastics for recycling from people in order to concretely promote a public conscience and understanding in recycling
investors’ understanding and assessment of whether the mutual funds meet their investment needs and mitigate the risk of greenwashing. ** The fee exemption applies to the 100,000 Baht application fee for
Waratchya Srimachand, SEC Deputy Secretary-General, stated “The SEC aims to support investors in achieving financial well-being, enhancing their knowledge and understanding, and providing easy
Bangkok, October 1, 2012 ? The SEC signed a Memorandum of Understanding (MOU) with the Office of Auditor General of Thailand (OAG) on September 27 to enhance audit quality of state owned enterprises