SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business operator or derivatives business operator
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in
Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The
QLT: QUALITECH PUBLIC COMPANY LIMITED SAFE: Safe Fertility Group Public Company Limited UBA: Utility Business Alliance Public Company Limited WHAUP: WHA UTILITIES AND POWER PUBLIC COMPANY LIMITED
LIMITED Please enter search criteria Search Company BRR: BURIRAM SUGAR PUBLIC COMPANY LIMITED CMR: CHIANG MAI RAM MEDICAL BUSINESS PUBLIC COMPANY LIMITED DCC: DYNASTY CERAMIC PUBLIC COMPANY LIMITED GRAMMY
higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the