with the National Strategy in the aspect of providing provincial people with the access to financial services and the capital market, including more understanding of SEC’s roles, in 2019 SEC plans to
the society in some ways. This is also a great opportunity for our SEC family to share happiness with our fellow Thais. “SEC Staff is very pleased to be a part of social sharing through the Pantry
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
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
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
principles of technology usage;(3) Allow fund managers or securities analysts to participate in fintech development/application processes;(4) Have a control and inspection system for algorithm
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
. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years