regulations and reviewed operations of securities firms to ensure that they have work systems in place to manage securities trading orders, including short selling transactions by their clients. This oversight
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
2.7 Central Order Screening System • To establish guidelines for a central system to screen inappropriate orders before matching to manage the order execution risk Early 2025 Way Forward : 1. Proposing
fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance
CFA INSTITUTE STATEMENT ON “GUIDANCE FOR INTEGRATING ESG INFORMATION INTO EQUITY ANALYSIS AND RESEARCH REPORTS” CFA Institute commends the SEC Thailand for promoting a diligent and thorough approach
Code should receive the full support of CRA management and be backed by thorough compliance and enforcement mechanisms. However, the measures set forth in the IOSCO CRA Code are not intended to be all
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
reported earnings objective - to avoid loss - to increases in annually earnings - to meet analysts’ earnings forecasts 4 Motivations to Manage Earnings Internal factors External factors Firm’s