facilitate the exchange of experiences among law enforcement personnel involved in the Thai capital market. During the event, SEC executives presented lectures focusing on supervision and law enforcement
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) บรรยายในหัวข้อ “SEC Roles and Capital Market Supervision and Development” ให้แก่คณะนักศึกษาหลักสูตร
will invest in digital assets and to be aware that the supervision and regulation thereof by government agencies can partially reduce risks, such as the risk of being deceived and being taken advantage
Connected Transaction of Hydrotek Public Company Limited in Relation to the Acceptance of the Entire Business Transfer and Securities Allocation Transaction 2. Information Memorandum regarding the Offering
management or supervision, in materiality, to undertake business efficiently and in compliance with related laws and regulations and fair treatment to investor or client or; (c) lack of financial stability to
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3
Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (2) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of