สำนักงานขอเรียนว่า หลักการดังกล่าว มีวัตถุประสงค์เพื่อไม่ให้บุคคลใดบุคคลหนึ่งมีอำนาจในการจัดการโดยไม่จำกัดและเป็มามาตรฐานสากลของการกำกับดูแลกิจการ (“Governance”) ที่ดี ซึ่ง Governance เป็นหนึ่งใน
SEC held a seminar under the topic of “Thailand SEC Policy Dialogue 2018: Regulating by Market Forces” on 28 November 2018 at the Grand Hyatt Erawan Hotel, with the objective to stimulate policy
trading transactions had no source of orders. It was also found in the recorded conversation that {A} had been allowed by the client to make securities trading decision. He informed the client of the
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
Microsoft Word - el276e Date : February 26, 2018 Subject: Management Discussion and Analysis for the year ended December 31, 2017 To : Managing Director The Stock Exchange of Thailand Kuang Pei San
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best