lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on
the universe of financial products and services for investors.The regulations will emphasize on information disclosure and appropriate level of investor protection. Foreign companies intend to raise
SEC’s commitment to investor protection and promoting the SEC’s public assistance channel, the “Investment Scam Hotline 1207 press 22.” In addition, the SEC operated an education booth at the event
action with respect to its operation as a derivatives clearing house, the SEC Office may instruct the derivatives clearing house to comply with said notifications and rules or take any action as it deems
shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names of the directors, executives or
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ผสานความร่วมมือกับ Asia Investor Group on Climate Change (AIGCC) จัดงานอบรมออนไลน์ในหัวข้อ “Developing a Climate Action Transition Plan
(ก.ล.ต.) ในงานการประชุมภาคีการขับเคลื่อนการปฏิบัติงานด้านการเปลี่ยนแปลงสภาพภูมิอากาศของไทย (Thailand Climate Action Conference: TCAC) โดยมีนางสาวอาชินี ปัทมะสุคนธ์ ผู้ช่วยเลขาธิการ ก.ล.ต. ให้การต้อนรับ ณ
client and acted irresponsible for the consequence of her action. The SEC probed into the case and found that {A} had made trading decision for such client in a manner that executing orders prior informing
Bangkok, August 29, 2014 ? SEC supports commercial banks to emphasize on social responsibility and join Collective Action Coalition (CAC) by aiming to obtain the CAC certifications by 2015.Chalee
operating net loss of 1,179.10 million baht in comparison with the net loss of 30.80 million baht in the previous quarter.The aforesaid action was deemed as taking advantage over the others by using inside