. The research team from the participating securities firms to join the project must have a professional license with at least four analysts to conduct fundamental analysis papers to ensure the capability
/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; (2
the existence of the debt that Tangerine Properties Co., Ltd., a POLAR subsidiary, owes to Simba Co., Ltd. Earlier, the SEC ordered POLAR to conduct a special audit on such debt and requested the
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
during 26 November 2021 - 25 January 2022, the SEC has taken the public’s and stakeholders’ comments and suggestions into consideration to conduct another hearing to propose amendments to the PVD Act to
interest to acquire the business, and it was Rapi himself who had signed on the associated memorandum of understanding and arranged for the new investors to conduct a due diligence on the business and assets
ขาย (sales conduct) เพื่อรองรับการขายสินค้าตามประเภทผู้ลงทุนให้เหมาะสมและรัดกุมยิ่งขึ้น1. การเสนอขาย unrated bonds และ กอง high yieldก.ล.ต. จะกำหนดให้ unrated bonds และกอง high yield เสนอขายได้เฉพาะ (1
“Responsible Business Conduct: Respecting Human Rights through Due Diligence and Way Forward” โดยนางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. กล่าวต้อนรับและกล่าวถึงความเป็นมา และผู้ช่วยศาสตราจารย์ ดร.ปารีณา ศรี
for investment decision making. SEC Secretary-General Vorapol Socatiyanurak said the SEC in collaboration with the Association of Thai Securities Companies (ASCO) urges each securities house to conduct