Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity
. Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and Section 97 of the Securities and
and skills in capital market services (digital literacy), and strengthen consumers’ defenses against scams, fraud and cybercrime. This helps investors protect themselves and equips them with tools to
Secretary-General, said: “Today’s event was aimed at promoting and supporting the development of stronger mechanisms to help businesses and organizations in the capital market safeguard their brand identity
capital market work with audit firms having quality assurance systems in compliance with professional standards. The regulation was issued to ensure that reliability of listed companies? financial reports
institutions have come into spotlight while innovation and technology help entail even more rapid fund flows. As Thai capital market supervisory and development authority, the SEC has played more proactive role
Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities
reduction was recognized. Since 3Q17, regulatory fee composes of 1) 1.5% of revenue as license fee 2) 2.5% of revenue as USO fee, and 3) Bt2/mobile number/month of numbering fee. 3Q17 Market and Competitive