work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
) cooperation.AMBIF, an initiative of ASEAN Bond Market Forum (ABMF), aims to boost product quantity and variety and the growth of bond market in ASEAN + 3 in response to demand of fundraisers and investors in the
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
>วันที่ถาม : 21/06/2562 วันที่ตอบ : 25/06/2562 คำถาม : designated market maker ของตลาดหลักทรัพย์สิงคโปร์(SGX) มีลักษณะ
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board. SEC Act S.35 Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 1/2024 Dated 30/01
ซักซ้อมความเข้าใจเกี่ยวกับการขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker) ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด
memorandum on execution of the connected transaction to the Stock Exchange of Thailand, and also seek approval from the Shareholders’ Meeting with the favorable votes of not less than three-fourths of all
Exchange of Thailand, and also seek approval from the Shareholders’ Meeting with the favorable votes of not less than three-fourths of all votes of the shareholders attending the Meeting and having the