Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
operation against corruption. Also, the SEC asked securities and asset management companies to adopt the Indicator as an investment factor for their proprietary trading and investment of mutual funds under
. Nor Por. 2/2562. Re: Determining Policies, Measures and Operating Systems concerning Acts That May Cause Conflicts of Interest with Clients of Securities Companies and Proprietary Trading of Securities
corporate social responsibility. For securities companies? proprietary trading portfolios of 45,000 million baht, the ASCO will encourage our members to apply the guidelines in exercise of their votes at