November 2023. In alignment with the SEC's strategic plan and leveraging the expertise of Certified Financial Planner (CFP®), the course aimed to give a model for a standard financial training

Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in

Bangkok, June 14, 2013 ? The SEC is planning to introduce an approval regime for technical analyst with a view to elevating standard and quality of technical analysis profession and giving

Bangkok, February 8, 2016 ? The SEC is seeking public comments on draft revisions to the rules governing operation of capital market infrastructures to be in line with international standard

matters:      (1)  Granting a waiver from an event of default in the case where the company is unable to carry out the following actions:    -  Closing the bondholders' register at least 14 days before the

SEC Secretary-General Ruenvadee Suwanmongkol said: “The free-float criteria are specified by SET with the SEC Board’s approval. They carry a significant importance to the trading liquidity of listed

suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the

extent of the interest of the connected persons in the transaction : -Non- 9. This transaction allows to standard of receiving and selling of assets. In this schedule the company sold out the investment

Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (“Standard Procedures”) and the Usage 3 Manual on Electronic Transmission of Information or other related manuals provided on

that the services investors will receive from the investment advisor or fund manager are up to the same standard of conduct obligated by other digital asset business operators. For instance, Know Your