diversification through sophisticated strategies and innovative financial instruments. All facts, opinions and suggestions garnered from the survey will be taken into account in determining appropriate
on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional
(1) the changing IT usage in business practices, (2) the increasingly sophisticated technical approaches and mechanisms of cyber threats, (3) the revisions to preventive measures for addressing
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List
Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to
Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission