Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a mutual fund. Such factors include emotion, personal belief and attitudes toward different channels o...
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...
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
would show a bigger picture of their contribution, in terms of work time, productivity and otherwise, to their respective work, and whether their multiple employments are likely to raise competition or
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In
bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and
consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Ltd. and Global Investments International Ltd. via www.globalinvestments.net and