The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
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...
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
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
their own financial well-being beyond retirement.?Additionally, the SEC will continue to promote alternative fundraising methods for small-sized enterprises and startups that use technologies to manage
enterprises and startups that use technologies to manage costs on the existing platforms, for example, crowdfunding. ?In promoting effective supervision, the SEC continues to focus on three areas, namely (1
ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by the board
, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by