company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
SMEs for funding in order to develop their potential and increase their ability to compete both domestically and internationally which is SEC's mission under the master plan of the 20-Year National
in the business rehabilitation process under the Bankruptcy Act of 1940. There are measures in place to oversee the asset management for normal business operations under the Central Bankruptcy Court
first assessment, all listed companies are expected to achieve Level 1, signifying intent to comply with laws and regulations with ability to communicate with all stakeholders.Vorapol Socatiyanurak, SEC
knowledge and relevant experience as a means to further gauge investors’ ability to take risks. The new rule will also allow investors to access a more diverse range of products and businesses to gain more
and ability in competitiveness of Thai capital market. _____________________________
known as robo-advisor, service to be offered to investors next year. Robo-advisor has gained popularities in many foreign capital markets as it offers investors ability to obtain lower cost investment