SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
and found noise trading risks in trading of securities on the SET. The finding suggested that non-fundamental factors highly influenced the SET Index; trading volumes, for instance. Whilst, the market
business operators who have expertise in the investment products of interest, the services in which Thai business operators also have responsibilities to oversee the appropriateness of foreign business
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
Suppiroj, Director of SEC’s FinTech Department acted as the moderator.Based on the panel discussion, there are the following issues. “Libra” is regarded as a challenge to the world and may become a key
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
actions taken were as follows: Board of Directors Risk Management and Control Units Enterprise Risk Management Division Approve risk appetite and all risk management policies and guidelines Oversee