procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In particular
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
Thai listed company recipients. The conference was held at The Athenee Hotel Bangkok. Finance Minister Arkhom Termpittayapaisith said: “As a regulatory agency, SEC plays an important role in supervising
at a fixed rate of 2 million baht. Over the years, the trading volume on TFEX have been increasing continuously. Thus, to align the fee with the cost of supervising derivatives exchange and in line
accommodate the HK-TH MRF project. In this regard, SEC applies the same principles for supervising the ASEAN Collective Investment Schemes (ASEAN CIS) and the Asia Region Funds Passport (ARFP), for which
for operating a derivatives regulatory association only upon meeting the criteria such as having good corporate governance structure, establishing rules for recruiting and supervising members that are
Mr Sitthiphat Sinfaphanit Mr. Sitthipat, in his capacity as the person responsible for supervising the operations of Beyond Securities Co., Ltd. (“Beyond Securities”), as the financial advisor for
and processes for preparing, approving, and supervising advertisements. In this respect, Merkle published advertisements without providing a channel for investors to study Merkle’s historical