investment governance practices by Institutional Investors will not only promote sustainable growth and development, but also secure the best returns to their Asset Owners and beneficiaries, and provide
Office ensures that the service provided by the cloud provider is reviewed on a regular basis. As for hard copy documents and printed materials, the SEC Office scans hard copy documents and printed
such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or
performing function of financial advisory; (3) Having operational rules and guidelines of financial advisory functions which are precise, reliable, secure and sufficient in accordance with the professional
Operator must submit a completed Form 35 – NRI CIS in hard copies accompanied by all supporting documentation as specified in Form 35 – NRI CIS to the SEC Thailand for the ASEAN NRI CIS. 2. ASEAN CIS
only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the
Regulatory Summary Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting