guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
Platform, the SEC plans to categorize information on Thai ESG Funds that invest in stocks of listed companies that disclose their corporate value-up plans. This aims to facilitate investors interested in
Mr. Patcharadanai Chanhatthakit Mr. Patcharadanai Chanhatthakit engaged in manipulative trading activities involving 4 securities, including (1) stocks of Asia Biomass Public Company Limited (ABM
ภัยโควิด” The Best Stocks : During Covid-19 ซึ่งจัดโดยหนังสือพิมพ์ฐานเศรษฐกิจ โดยได้กล่าวถึงประเด็นเรื่องบทบาทของหน่วยงานกำกับดูแลกับการสนับสนุนตลาดทุนและผู้ลงทุน แนวโน้มที่จะส่งผลต่อกระแสเงินลงทุนใน
price of RPCG Public Company (RPC) by placing trading securities in such a way that misleads other persons regarding the price or volume of RPC stocks trading. 27/02/2026 referred the case to a state
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the