securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current

managing private assets of any persons or groups of persons (private trust), nor does it aim to evade compliance with any relevant laws.  Key products for GIT investment in environmental projects are: (1

six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________

cybersecurity to protect the safety of clients’ assets, and requires digital asset business operators to have cybersecurity measures in compliance with the standards specified by the SEC. Likewise, service users

involves severely illegal business. For example, human trafficking, drug smuggling or money laundering etc. Moreover, the issuer must not act in violation or non-compliance with the law, which may cause

transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the

, investors should contact the compliance unit without delay._______________________ Notes:  * Pursuant to Clause 23(2) and Clause 23(1) and the prohibited characteristics of personnel in the capital market

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. พร้อมด้วยนางปะราลี สุคนธมาน ผู้ช่วยเลขาธิการ และคณะผู้บริหาร ได้เข้าร่วมประชุม ASIFMA Compliance and Legal Conference 2019 ณ ประเทศฮ่องกง ระหว่างวันที่ 29