Complex Type 2 Investment Consultant
Bangkok, June 17, 2014 ? SEC urges securities and asset management companies to concretely consider supporting anti-corruption with disclosure of Anti-corruption Progress Indicator of listed companies in the research. Meanwhile, securities and asset management companies are also urged to become a role model for anti-corruption practices as the Indicator of each business operators will be publicized from 2016 onwards.Chalee Chantanayingyong, SEC Deputy Secretary-General, said following disclosure...
Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure