self-assessment survey in order to collectively find an appropriate direction or outcome in dealing with the issue.SEC also prioritizes and considers this matter to be crucial. Therefore, SEC has set
-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities
Limited Brokerage Dealing Underwriting (LBDU) to provide the said services in a bid to facilitate access to investment in foreign products for the investors. In this regard, offering of ASEAN CIS will be
apply for the Type D license (limited brokerage, dealing or underwriting of investment units) and investment advisory service license. The revisions would help investing public to have greater access to
the net asset value of mutual funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s
funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s suspension order has been lifted
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมการเสวนาออนไลน์เนื่องในวันสตรีสากล (International Women’s Day) จัดโดย UNDP Bangkok Regional Hub ใน
Bangkok, August 7, 2013 ? The SEC will organize four rounds of half-day seminars on ?Revised Rules Governing Preparation of Reports under Section 56 and Annual Registration Statement (Form 56-1
in a fine of Baht 30,000 and a further fine of Baht 1,000 each day starting from the judgment date until the company so complies. SEC Act S.56(1)(2)(3)(4) and199 Criminal Complaint Filed with an
a further fine of Baht 1,000 each day for 36 days starting from August 16,2017 until September 20,2017 totally 36,000 Baht. The amount of total fine for the accused is 76,000 Baht. Since the accused