of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan
the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by
confidential business secret is deemed performing duties dishonestly and betraying investors? confidentiality. Investor contacts are key capital market personnel who have direct and close contact with investors
Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the
An examination on the provision of Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the digital asset exchange of Zipmex Thailand, showed that the
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
report and the amended financial statements was 6 February 2017. KC requested an extension to the deadline of the special audit report to allow more time to complete the examination and review of all
public monitoring, examination, and evaluation of my work as the SEC Secretary-General. All feedbacks and suggestions are welcomed as part of our mutual efforts going forward,” she added