Plain Investment Consultant
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
The afore-mentioned Capital Market Development Plan, acknowledged by the Cabinet on Tuesday, January 31, 2023, consists of the following five strategic directions for continued growth of the capital market which is envisioned to become: Strategic Direction 1 Capital market for competitiveness (Competitiveness), in which potentiality and competitiveness of all sectors in the capital market and economic system will be reinforced. Strategic Direction 2 Capital market accessible to all (Accessibili...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
electricity grid and storage infrastructure is crucial to meeting the steep decarbonisation goals for energy systems. More flexible and distributed systems are needed to bring about clean electricity. It is
Thai people, provision of adequate and accurate financial knowledge and information for their proper decision-making is crucial, particularly in today’s investment world where advanced technology
On 19 and 28 June 2018, SEC held a seminar on the topic of the I Code and the benchmark assessment of PVD at the SEC office, where over 200 PVD committees had attended. PVD plays a crucial role in
basic essential life skill while investment is a crucial tool for creating sustainable wealth and adding value to savings in the long term. The BAAC has the School Bank project that instills the habit
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
Reporting and Audit Oversight Regulations SHARE : Detail Content Financial reporting and audit oversight Overview of enhancing quality of financial information Financial report is essential