and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance

Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์   แบบสำรวจความคิดเห็น Hearing Home      การเปิดทางให้ Investment Advisor สามารถอำนวยความสะดวกในการซื้อขายผลิตภัณฑ์ในตลาดทุนได้

on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without

known as robo-advisor, service to be offered to investors next year. Robo-advisor has gained popularities in many foreign capital markets as it offers investors ability to obtain lower cost investment

, both the Board of Directors and the Audit Committee view that such transaction is reasonable and beneficial to the company. However, the independent financial advisor is of the opinion that the

Bangkok, March 21, 2016 ? The SEC has ordered Chewathai Public Company Limited (CHEWA) and its financial advisor RHB Securities (Thailand) Public Company Limited to clarify their disclosure, via

e-service Online Submission Derivatives Advisor Licensed Derivatives Advisor | Registered Derivatives Advisor | Licensed Derivatives Advisor (Individual)   Company Name Head Office 1. KASIKORN

not have any of the following prohibited characteristics: (1) is or was an executive director, executive, staff member, employee, or advisor, or is holding or held any other equivalent position, of the

mainly due to the increase of administrative expenses from hiring management of subsidiaries, advisor and due diligence fees to audit the position of energy projects that the Company had entered into