LIMITED Disclosure Business News ( 1 record(s) found) Date Time Heading Link 29/04/2021 19:01 Informing information on connected transactions (receiving financial assistance from the Company's director and
the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
already submitted where a number of transactions had no details of either amount or price of securities. From the record, in addition, the client sometimes allowed him to make trading decision and the
procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S
of having complied with such guideline, it shall be deemed that an intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
May 7 ,2020 Dear Director and The Manager of SET Re: Clarification on the Operating Result of Quarter 1/2020 and the Appointment of Auditor Thai economy of quarter 1/2020 tends to shrink from the
facilitate the financial statements submission to SEC, as required. However, the companies must propose the auditor appointment for the shareholders’ consideration at the next shareholders’ meeting to be
, Thailand. Prior to the recent appointment, she was Director of the Financial Education Department, the Sales Conduct Supervision Department and the Investment Management Policy Department, respectively