' Association, the Association of International Banks, the Thai Financial Planners Association, the Thai Investors Association and the Thailand Securities Institute in standardizing suitability test for
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
On 15 August 2023, the SEC Board Meeting No. 13/2566 passed a resolution approving the principles for amending the Emergency Decree on Digital Asset Businesses to ensure that the supervision of digital asset issuance and offering in the primary market and the undertaking of digital asset businesses in the secondary market remains in compliance with the Emergency Decree on Digital Asset Businesses and in alignment with the specific characteristics and risks associated with different types...
จัดการเงินทุนสัญญาซื้อขายล่วงหน้า ให้ไม่ต้องประเมินความเหมาะสมในการลงทุนหรือการทำธุรกรรม ("suitability test") กับลูกค้าที่เป็นผู้ลงทุนสถาบัน เนื่องจากผู้ลงทุนสถาบันเป็นผู้ที่ดูแลตัวเองได้ในเรื่องการลงทุน
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a