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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
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firm; · Existing conditions that https://www.sec.or.th/EN/Documents/Auditor/acceptance.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ mutual fund with the Office; (6) transferring ownership of any
Criteria for Offering for Sale of Newly Issued Securities with a Tender Offer for the Existing Securities of Listed Companies for Restructuring of Shareholding and Management
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
importance of preventive measures against frauds. In addition, the involved parties were encouraged to use the existing mechanisms and tools effectively to support their duty performance. Such efforts in good