Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and

under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went

The enhancement of fund managers’ duty performance in accordance with I-Code** will be  supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The Capital Market Development Fund  (CMDF) renders financial support to this initiative. Morgan Stanley Capital International (MSCI), an international consultant, is commissioned to study and develop a data framework that is suitable for the context of Thailand and in line with international standards. The...

person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal

experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and

turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their

relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; - The firm has sufficient personnel with the necessary competence and capabilities

, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the