negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
the SEC Office. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data Information concerning the supervision of ThaiBMA (report on trading of
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
ชื่อผู้ได้มา/จำหน่าย :?GLOBAL PROCESS SYSTEM INC. | ประเภทหลักทรัพย์ : หลักทรัพย์แปลงสภาพ | วันที่มีหน้าที่ : 28/02/2551
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
issue of time-consuming process for verification of bondholders’ ownership and the lack of https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7874 SEC Board approves rules governing digital asset
essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that
to understand the risks of bonds and up-to-date information before their investment, as well as to make information become easier to access. Therefore, SEC has improved the supervision guideline on
Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the