utility functions include the functions such as support services for investment units dealings and fund management in a fund service platform which is carried out by Thailand Securities Depository Co., Ltd
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
the authority in accordance with law on securities and exchange, in the offences of unfair securities trading practices, or fraudulent or dishonest management; (3) has been tried in any criminal
platform. The advisory process should be carried out based on theoretical principles and include measures to manage conflicts of interest effectively. 5. Clearly segregating the unit of trading function
platform. The advisory process should be carried out based on theoretical principles and include measures to manage conflicts of interest effectively. 5. Clearly segregating the unit of trading function
Platform I Code SHARE : ContactUs
รายงานภาพรวมการลงทุนของลูกค้า 4. มีระบบอิเล็กทรอนิกส์ (platform) เพื่อรองรับการให้บริการ โดยต้องจัดให้มีบุคลากรที่มีความรู้ ความสามารถเพื่อมีส่วนร่วมในการกำหนดกระบวนการและปัจจัยในการคัดเลือกผลิตภัณฑ์ของ
. Save and Close × Home > Laws/Regulations > Regulations > Prevention of Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE
. Save and Close × Home > Laws/Regulations > Regulations > Prevention of Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE