Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
expenses, net claims and other underwriting expenses rose by Baht 14.16 million, Baht 6.92 million and Baht 10.18 million respectively. 1.2 Operating expenses increased by Baht 3.56 million or 5.1% due to
. Procuring of loan policy 12. Return distribution policy and restrictions 13. Financial status and operating results of REIT 14. Future investment policy 15. Other relevant information Part 3: Information on
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
หนังสือแต่งตั้งเจ้าหน้าที่ปฏิบัติการ (operating officer) ในการส่งข้อมูลเกี่ยวกับการเสนอขายหลักทรัพย์ผ่านระบบคราวด์ฟันดิง
. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment