สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมลงนาม International Organization of Securities Commissions (IOSCO) Enhanced MMoU (EMMoU) ในการประชุม MMoU/EMMoU Monitoring Group ภาย
เมื่อวันที่ 15 มิถุนายน 2566 ก.ล.ต. ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group โดยในที่ประชุมได้มีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และได้ประกาศว่า IOSCO ได้
gathering related documents and evidence for auditor. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed
well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
guideline for selecting a suitable asset management companies and monitoring fund performance; 5) To provide a fact sheet for fund members to choose an investment plan; and 6) To provide information on
amended regulations on custody of assets, with key essences as follows: (1) Withdrawal or transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
each area. We continued to prioritize risk assessment through prudent screening and close monitoring of borrowers, and remained vigilant on risks. Meanwhile, we mainly targeted borrowers with good track
Subject Notification of the Board of Directors No.6/2018 Re: Convening the Extraordinary Shareholders’ Meeting No.1/2018; an Acquisition of Assets and Connected Transaction for the Entire Business Transfer