Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases

List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to

in assessing the long-term value and performance of assets.Kingpai Koosakulnirund, Vice President, CFA Society Thailand said: “Thailand’s capital market has been advancing on the ESG front with the

ธรรมเนียมการขาย (front-end fee) จากผู้ลงทุนบางกลุ่มไม่เท่ากัน ในระยะที่ผ่านมา มีบางบริษัทจัดการประสงค์จะคิด front-end fee จากผู้ลงทุนแต่ละกลุ่มไม่เท่ากัน สำนักงานจึงขอวางแนวทางในเรื่อง

ก.ล.ต. กล่าวโทษ {ก} ต่อกองบังคับการปราบปรามการกระทำความผิดเกี่ยวกับอาชญากรรมทางเศรษฐกิจ (ปอศ.) กรณีส่งคำสั่งซื้อขายในลักษณะดักหน้าการซื้อขายของลูกค้า (front running) ในตลาดสัญญาซื้อขายล่วงหน้าก.ล.ต

in blue. No. ORI 94/2018 10 November 2018 Subject: Resolution of the Board of Directors' Meeting No. 12/2561 Adjustment of the Exercise Ratio by adjusting Number of ORI-W1 and approval of the asset

: Resolution of the Board of Directors' Meeting No. 12/2561 Adjustment of the Exercise Ratio by adjusting Number of ORI-W1 and approval of the asset acquisition transaction of the company and subsidiary

Fees and Service income The Company’s fees and service income in 3Q2018 was Baht 173 million, an increase of 15% from 3Q2017, mainly from an increase in mutual fund management fees, front-end fee income

. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training

compliance such as training etc. [M] o Providing an oversee system the operation of officer under the policy strictly [M] (Translation) -3- o providing an inspection and assessment of the sufficiency of policy