persons and general investors applies the same rules. In addition, the issuing companies must ensure that subscribers through any channels such as website or telephone, obtain executive summary or factsheet

percent of which must be allotted to individual subscribers under the small lot priority rule.   The allocation limit for special subscribers* - owners, renters, assignors, sponsors or persons of the same

) Enhancing clarity in the management of conflicts of interest (COI) by establishing clearer guidelines on transactions between funds or between clients under the same management (cross trade), in line with

through close coordination and collaborative mechanisms. Such cooperation aims to enhance the effectiveness of tracking fund flows and examining complex behavioral patterns.At the same time, the SEC has

because JTS has the net loss of 6.19 million Baht in prior quarter and 4.83 million Baht if compared with the same quarter in 2015. Mr. Pete accessed that information by virtue of his positions as a

information prior to the disclosure of such inside information to the public on same day at 7.25 p.m. 09/09/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as

as well as a violation of Section 89/7 of the same Act, as the case may be. This case is in the process of inquiry by the special case inquiry official. SEC Act S.307 308 311 312 313 315 89/7

307, 308, 311 of the same Act, as the case may be. This case is in the process of inquiry by the special case inquiry official. SEC Act S.307 308 311 312 315 Criminal Complaint Filed with an

proposed amendments would: (1) apply the same auto approval principles for the establishment of local branches to the applications for establishment of foreign branches as well, (2) remove the mandatory

เวทีเสวนาในหัวข้อBridging the Gap between Capital Market Research and Practice และการลงนามความร่วมมือระหว่าง ก.ล.ต. กับสถาบัน CFA เพื่อเปิดช่องทางให้ ก.ล.ต. ตรวจสอบรายชื่อผู้สอบผ่าน CFA ระดับที่ 1 ถึง 3