securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Bangkok, November 9, 2011 ? The SEC ordered Tongkah Harbour Plc. (THL) to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
Bangkok, November 27, 2009 ? The SEC will arrange for a three-party meeting next week for the Stock Exchange of Thailand, the Association of Securities Companies (ASCO), and representatives from
overall risk management of the Financial Conglomerate to ensure its effectiveness Ensure effectiveness of overall risk management of the Financial Conglomerate Establish risk management policies and
overall risk management of the Financial Conglomerate Establish risk management policies and risk appetites. Set risk limits for the significant aspects of the various risks. Formulate strategy on the
a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC