cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
International Business from Wharton School, University of Pennsylvania, USA and a Bachelor of Economics (First Class Honors) from Thammasat University. Prior to his current appointments, he was Deputy Commerce
Trade before taking current office. Mr. Chaiyawat Wibulswasdi A financial expert member of the Board, he obtained a B.A. in Economics from Williams College and a Ph.D. from Massachusetts Institute of
disclosing or managing conflicts of interest. SOEs are audited by the Office of Auditor General (OAG), a state auditor with limited capabilities to audit statements prepared in accordance with current
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
as a tool in the commission of crime and to supervise digital asset custodial wallet provider https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=691 SEC public hearing on proposed amendments to
Sort by: Relevance Date (Newest) Date (Oldest) The SEC’s public hearing on the proposed measures to prevent the usage of digital asset as a tool in the commission of crime and to supervise digital asset
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members