business operators to conduct only other businesses that are related to the securities and derivatives businesses for which they have been licensed, and requiring them to comply with the specified
Prince Palace Hotel, Maha Nak, Bangkok. SEC Secretary-General Ruenvadee Suwanmongkol said that SEC encourages businesses in the capital market to conduct business with due regard to good governance
, namely (1) Mr. Sawin Chindakul, (2) Ms. Paradee Teawanitchakul, and (3) Mr. Noppadon Chaidarun in order for the DSI to conduct further legal proceedings in the case of EARTH’s violation of the SEC’s order
intermediary, who will conduct KYC and Suitability tests in order to protect investors.4. Funds investing in shares of SMEs and startups will be established. These funds will be administered and
products and policies to serve the business needs. A rich ESG data environment enhances investment analysis, effective ESG risk measurement, and heightens transparency for monitoring business conduct.3
ระยะเวลา 12 เดือนล่าสุด และการซื้อขายหุ้นเอสเอ็มอีและสตาร์ทอัพต้องทำผ่านตัวกลางที่ปฏิบัติตามกระบวนการขายผลิตภัณฑ์ (sales conduct) เช่นเดียวกับผลิตภัณฑ์ประเภทเสี่ยงสูงและซับซ้อน รวมทั้งผู้ลงทุนต้องผ่านแบบ
. The research team from the participating securities firms to join the project must have a professional license with at least four analysts to conduct fundamental analysis papers to ensure the capability
/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; (2
the existence of the debt that Tangerine Properties Co., Ltd., a POLAR subsidiary, owes to Simba Co., Ltd. Earlier, the SEC ordered POLAR to conduct a special audit on such debt and requested the
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session