is an important kick-off towards practical activities of Thailand Responsible Business Network (TRBN) – a joint initiative of the Thai Listed Companies Association, the SEC and seven other
, transactions that are subject to variable fee rates shall be based on volume they made; and the intermediaries that enter into the same type business activities shall pay the same rates of fee; or fees shall
the regulations on sale promotion advertisement, engagement of introducing broker agent, and disclosure of brokerage transaction activities, which will come into force starting from 1 January 2022
trading activities of one group of individuals. According to the SEC’s further investigation, there was sufficient evidence showing that on 7 and 17 November 2014 Thanadej, Naruedee, Nitis and Winyoo had
capital market business for sustainable, stable and efficient growth, enhancing the cooperation with organizations and entities involved with the capital market business, and performing other activities
-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a
DCA service providers and portfolio wealth advisors; (4) Updates on mutual fund-related activities: Providing information on trainings and seminars, and new mutual funds.Additionally
activities via various channels including production of an auditor?s reporting handbook and organization of preparatory guideline seminars for auditors in the capital market, chief financial officers, audit
reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms