, 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
capital market auditor in compliance with the revised notification. __________________________ Remarks: * Notification of the Office of the Securities and Exchange Commission No. Sor
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree
seeking advice on fundraising or applying for a digital asset business license in compliance with th Royal Decree on Digital Asset Businesses B.E. 2561 (2018) are welcome to contact the SEC Digital Asset
compliance; (2) Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report
compliance with the governing law; (2) These ICOs have not been screened by the SEC-approved ICO portals; (3) Necessary and sufficient information on these ICOs may not be disclosed to support investors
, and seeking the annual general meeting’s resolution for ratification of the financial support transaction is in compliance with corporate governance principles. The aforesaid loan transaction is
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee