provide services with loyalty* by committing wrongful acts against investors’ assets, which was an offense liable to revocation of approval as investment consultant. However, the approval as securities
and businesses in which it has a significant investment (between 20 percent to 50 percent of shares with voting rights). Explanation 1. For guideline no. 6.1.3, relevant principal and substantial risk
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
their comments on key issues at the 2010 Asian Roundtable annual meeting in Shanghai, China and to provide written comments afterwards. A sec- ond draft of this Report was circulated for further comments
, the I Code promotes and contributes to a good corporate governance ecosystem, stimulates responsible and sustainable practices by listed companies, and fosters growth and development of the Thai capital
, the I Code promotes and contributes to a good corporate governance ecosystem, stimulates responsible and sustainable practices by listed companies, and fosters growth and development of the Thai capital
center are comparable to those for stock exchange. Derivatives Exchange is a market to facilitate the trading of derivatives. Any persons who wish to become a derivatives exchange must be a public company
, especially GMS countries to list their shares on the Stock Exchange of Thailand by enacting primary listing regulations for those not having their shares listed on any exchange and secondary listing
center are comparable to those for stock exchange. Derivatives Exchange is a market to facilitate the trading of derivatives. Any persons who wish to become a derivatives exchange must be a public company
victims to investment frauds, and providing information to local SME entrepreneurs to promote the use of the capital market as a source for fundraising. SEC Secretary General Ruenvadee Suwanmongkol said