could not rectify the problem within the specified period, which is deemed non-compliance with Clause 9(3) of the SEC Notification No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
Market Supervisory Board thereof, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8
, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8. 3 Division 4 Powers of the SEC Office
guidelines for compliance with other requirements stipulated by the PSA and any that may be stipulated in the future. We have conducted studies and informed relevant staff to ensure that operations comply with
place relevant processes in preparation for and in compliance with the new regulations. 7 International Financial Reporting Standards (IFRS) In 2019, the IFRS Conversion Project continued to closely
คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า
and international investors.”AIMC President Mr. Wasin Wanichworanant said “the AIMC is determined to seek for opportunities and channels in developing industries, in conformity with the ever-changing
นางสาวจอมขวัญ คงสกุล รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงาน Global Regulatory Forum ในหัวข้อ “Compliance and resilience at a time of technological