cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
advisors, sale agents of mutual funds and private funds, and marketing officers of securities brokers must posses the qualified level of education and must pass a test on fundamental knowledge of financial
Securities brokers, dealers and underwriters ë Derivatives agents/dealers ë Mutual fund/private fund/derivatives management ë Venture capital management ë Securities/derivatives investment advisors ë
. Its board of governors consists of five SEC appointments, and five representatives of the SET member brokers, who also participate in annual general meeting of the SET (but are technically not
capacity. It also highlights the need to disclose and minimize conflicts of interest that may compromise the integrity of proxy advisors, analysts, brokers, rating agencies and others that provide analysis
Techniques: Investment Scams ë Investor Alerts: Unlicensed Brokers-Fund Management Businesses ë From Pyramid Schemes to Mutual Fund Scams ë Additional Rights of Investors under the New SEA, etc. (2
mutual fund selling agents ● Proposed to grant new mutual fund management license to increase a greater number of professionals ● Proposed to amend the Provident Fund Act for provident funds to invest
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...
are representatives from the private sector, external experts. 7. Seek approval from SEC Board/CMSB/SEC Office before drafting the notification * 8. Draft the notification: Draft notifications shall
amendments to capital requirements of digital asset exchanges, brokers, and dealers https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=848 SEC Thailand’s public hearing on revised principles for supervision