The Securities and Exchange Commission (SEC) organized a seminar to announce the SEC Strategic Plan for the years 2024-2026. Prime Minister and Minister of Finance, Mr. Srettha Thavisin, presided
®), Associate Financial Planner Thailand (AFPT™), and professionals from the financial service, insurance, and wealth management. The seminar was held in Bangkok on 22 November 2023.
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are
12 MAY Seminar 12.05.2022 สัมมนาและคลินิกระดมทุนสำหรับ SME 25 MAR Webinar 25.03.2021 (Zoom) Virtual Pitching Event 22 MAR Webinar 22.03.2021 SEC SME/Startup Forum : เริ่มต้นอย่างไรในตลาดทุน 18 MAR
งาน SEC Fintech Virtual Seminar 2020 ก.ล.ต. ขอเชิญพบกับตอนแรกของ SEC Fintech Virtual Seminar 2020 สัมมนาออนไลน์ที่จะช่วย #สร้างทางเลือก #เสนอทางรอด ให้ธุรกิจและสังคมผ่านพ้นวิกฤตครั้งนี้ไปด้วยกัน โดยใช้
The Securities and Exchange Commission (SEC), represented by Mrs. Butree Vangsirirungruang, Director of the Digital Financial Innovation Department, participated in the seminar titled “Navigating